三木証券株式会社

Situations where solicitation conflicts with the principle of suitability. The company recognized that at least 18 customers lacked the cognitive judgment ability to conduct foreign stock transactions, as evidenced by customers' responses such as incoherent conversations and not recalling conversations from a few minutes prior. Despite this, the company engaged in concluding financial instrument transactions without providing explanations about the risks of foreign stocks in a manner and extent necessary for customer understanding, based on customer attributes. Additionally, during the solicitation of investment trusts investing in emerging country technology-related companies, the company was found to have concluded financial instrument transactions with at least one customer without providing explanations about the product overview and risks in a manner and extent necessary for customer understanding, considering the customer's attributes.