Considerations related to Securities Brokerage Services

  • When conducting your research, please be sure to read the latest “prospectus,” “sales guide,” or “introduction to foreign bonds on the market.” The “prospectus,” “sales guide,” and “introduction to foreign bonds on the market” are available at this Sumitomo Mitsui Banking Corporation branch.
  • When converting from yen to foreign currency, or foreign currency to yen, exchange fee (one-way; maximum ¥1.27 yen per base currency unit) is assessed.
  • Products handled by Securities Brokerage Services of Sumitomo Mitsui Banking Corporation do not include a guarantee of principal, or guarantee of return rate or dividend.
  • The risk that the value of assets invested falls below invested principal due to bond price increase/ decrease caused by interest rate fluctuations, fluctuations in exchange rates or share prices, or changes in the financial circumstances of the issuer is the sole responsibility of the customer.
  • Customers purchasing products handled by Sumitomo Mitsui Banking Corporation brokerage services must open a “comprehensive securities account” and “foreign securities transaction account.” with SMBC Friend Securities.Sumitomo Mitsui Banking Corporation will act as the agent.
  • Products handled by Sumitomo Mitsui Banking Corporation as the Securities Brokerage Services are not deposits.
  • Products handled by Sumitomo Mitsui Banking Corporation as the Securities Brokerage Services are not covered by deposit insurance. Please consult with the appropriate information desk regarding deposit insurance.
  • SMBC Friend Securities Co., Ltd. acts as the custodian for products handled via securities brokerage services; as such, these are covered by the Investor Protection Fund.
  • Please consult with Sumitomo Mitsui Banking Corporation with respect to price information and ratings status related to foreign bonds.
  • Customers must be at least 20 years of age to conduct securities brokerage services transactions via Internet banking.