Invitation Guidelines

When soliciting for Foreign Exchange Margin Trading Accounts, IG Markets Securities Limited will endeavour to ensure that its solicitation activities are conducted in accordance with the policies set out below, which are in accordance with the Laws and Rules:

IG Markets Securities Limited will endeavour to ensure that foreign exchange margin trading is suitable for its customers, based on the customers' financial status, investment objectives and investment related knowledge and experience.
In order to assist the customer in making informed decisions and being able to trade responsibly, IG Markets Securities Limited intends to provide sufficient information regarding foreign exchange margin trading including its nature and the inherent trading risks.
IG Markets Securities Limited respects the privacy of its customers and will protect its customers' private information.
IG Markets Securities Limited will not solicit for customers, either in person or over the telephone, during hours that are inappropriate to you. If our solicitation activities are inconvenient to you in any way, please tell the IG Markets Securities Limited representative.
IG Markets Securities Limited trains its employees to ensure that their solicitation activities are conducted appropriately.
IG Markets Securities Limited aims to maintain good internal controls to ensure that IG Markets Securities Limited and its employees comply with the relevant legal and regulatory requirements and to ensure that IG Markets Securities Limited`s solicitation activities are carried out appropriately.
If you have any issues of concern whatsoever please contact an IG Markets Securities Limited representative or view further policy details on our Japanese-language site.
Tel : 813-6704-8500
E-Mail : info@igmarkets.co.jp

Prohibited Activities

Financial futures traders are prohibited from performing any of the following acts pursuant to theFinancial Instruments and Exchange Act and Commodity Derivatives Act .

In no circumstances shall officers and employees (of the Company) engage in any of the following:

give false information to a customer in connection with concluding or soliciting to conclude an OTC derivatives contract (meaning a contract for OTC derivatives transactions with the customer as a counterparty, hereinafter the same);
solicit the customer to conclude an OTC derivatives contract, offering a decisive judgment as to uncertain matters, or misleading the customer into believing them to be certain;
visiting or telephoning a customer who has not requested soliciting to enter into an OTC derivatives contract (meaning a contract in which an act of trading in OTC financial futures will be made with the customer as the other party, hereinafter the same), and soliciting the customer to enter into an OTC derivatives contract (excluding the soliciting of a customer who engages in continuous trading (but limited to those who have entered into two or more OTC financial futures transactions during one year prior to the date of solicitation or have outstanding positions of OTC financial futures transactions on the date of solicitation) to enter into an OTC derivatives contract, or soliciting a corporation that engages in foreign trading or other business activities that involve foreign exchange transactions to enter into an OTC derivatives contract);
solicit a customer to conclude an OTC derivatives contract without confirming with the customer prior to the solicitation whether he/she wishes to receive such solicitation;
solicit a customer to conclude an OTC derivatives contract, even though he/she has expressed his/her intention not to conclude an OTC derivatives contract (including his/her intention not to wish to continue to receive such solicitation; hereinafter the same) or continue to solicit the customer to conclude an OTC derivatives contract even though he/she has expressed his/her intention not to conclude such OTC derivatives contract;
solicit a customer to conclude or cancel an OTC derivatives contract by visit or call during hours that would cause the customer to be inconvenienced;
offer or promise, or cause a third party to offer or promise a customer or a third party designated by the customer that if the customer incurs a loss or does not earn a predetermined profit in connection with an OTC derivatives transaction, IG Markets Securities Limited or any third party will provide economic benefits to the customer or the third party so designated, in order to cover all or a part of loss or make up all or part of deficit in predetermined profit;
offer or promise, or cause a third party to offer or promise that IG Markets Securities Limited or any third party will provide economic benefits to the customer or a third party designated by the customer in order to cover all or a part of the losses incurred by the customer or to supplement the profit of the customer in relation to an OTC derivatives transaction;
provide, or cause a third party to provide, economic benefits to the customer or the third party, in order to compensate all or a part of loss incurred by the customer or provide economic benefits additional to the profit of the customer, in relation to an OTC derivatives transaction;
enter into an OTC derivatives contract without giving a prior explanation to the customer in connection with the delivery of the pre-contract document and the document on amendment of contract, in a manner and to such extent that is necessary in view of the customer’s knowledge, experience, financial circumstances, and objectives of entering into the OTC derivatives contract, in order for the customer to understand the matters set forth in Article 37-3(1)(i) through (vii) of the Financial Instruments and Exchange Law;
make a false representation or a representation that would cause a misunderstanding concerning a material matter in connection with entering into an OTC derivatives contract or soliciting of the same;
promise to provide special benefits to a customer or a person designed by the customer, or provide special benefits to a customer or third party, in connection with an OTC derivatives contract (including an act of having a third party promise to provide special benefits, or having a third party provide the same);
employ artifice, battery or coercion to enter into or cancel an OTC derivatives contract;
decline or unduly delay an OTC derivatives transaction under an OTC derivatives contract or other performance of all or part of its obligations under an OTC derivatives contract;
usurp the money, securities and any other assets or margin and other surety deposits held by IG Markets Securities Limited for the account of the customer under an OTC derivatives contract by using a false market price or any other fraudulent means;
gather customers without specifying in advance that there is an objective of soliciting the conclusion of anOTC derivatives contract, and engaging in soliciting to enter into an OTC derivatives contract;
enter into an OTC derivatives transaction for the account of a customer without obtaining consent from the customer in advance;
conduct on the part of a director, statutory auditor or employee of a financial instruments dealer of using his or her status in his or her duties to enter into an OTC derivatives contract, based on special information obtained in the course of business, such as customer's order trends in connection with OTC derivatives transactions of customers, or primarily in pursuit of speculative profits;
conclude a contract, other than in writing, which provides that out of total customer’s funds, upon consent of such customer, the type of trading, composition of currency pairs, number or volume of trading, and contract price (each of which remains undetermined by the customer) shall be determined by an electronic computer upon occurrence of certain events or other predetermined method, and financial instruments dealer will execute transactions accordingly (excluding concluding through electronic information processing system or other information and telecommunication technology); and
make a solicitation or engage in any similar act concerning an offsetting trade against the sale or purchase of an OTC financial futures transaction or any similar transaction entered into by the customer (meaning a transaction to reduce loss arising from such transactions).

A straddle transaction may be placed subject to a customer’s discretion. However, please be aware that such a transaction may be economically irrational and may incur double burdens in transaction margin, commission charge, and bid/ask spread and liability in swap point differential.