About us

Our Approach

Vision: Creating a sustainable future through the power of investment Thoughts on our Vision By using the power of investment to contribute to the growth of companies that can solve social issues through innovation, we want to promote a virtuous cycle in the capital market. We hope to pass on this beautiful planet to the next generation in a sustainable manner.

Mission: Doing what we must as financial professionals to create a sustainable future Thoughts on our Mission Based on our financial expertise, extensive domestic and international networks, and in-depth research capabilities, we are committed to providing investors with returns, delivering positive social impact, and supporting portfolio companies in building sustainable business model and structures.

Value: 1. Embrace new challenges 2. Act passionately, calmly, and creatively as a team 3. Fairly evaluate ourselves and our colleagues

Company Profile

Company Name:	Investment Lab Co., Ltd.
Address:	FinGATE TERRACE 4F, 8-1 Nihonbashi Kabuto-cho, Chuo-ku, Tokyo 103-0026, Japan
Date of Establishment:	February 2020
Representative:	Naohide Une
Business activities:	(i) Investment Management Business, Investment Advisory and Agency Business, and Type II Financial Instruments Business related to alternative investments. (ii) Consulting services.
Registration No.:	Financial Instruments Business Operator Director of Kanto Local Finance Bureau (Kinsho) No. 3237
Member Associations, Registered Associations:	Japan Investment Advisers Association; Type II Financial Instruments Dealers Association; Financial Instruments Mediation Assistance Center (FINMAC), a specified nonprofit corporation.

Personal Information Protection Policy

Investment Lab Co., Ltd. (“the Company”) and its officers and employees will comply with the Act on the Protection of Personal Information, related laws and regulations, guidelines of supervisory authorities, rules of industry associations, and the Company’s compliance manual, and will handle personal information appropriately and take appropriate measures for security management as described below.
In addition, we will provide thorough guidance and education to our officers and employees to ensure that the provided personal information is handled appropriately in the course of business, and we will periodically check whether the information is being handled properly and continuously improve the process if any issues are found.

Acquisition of Personal Information
We will acquire personal information to the extent only necessary for our business and by proper and fair means.

Purpose of Use of Personal Information
We will use personal information in an appropriate and fair manner for the purpose of conducting the following businesses and operations. When handling personal information beyond the scope necessary to achieve the purpose of use, the Company shall obtain the consent of the individual to whom the information pertains, except in the cases specified in each item of Article 16, Paragraph 3 of the Act on the Protection of Personal Information. If the purpose of use is changed, in principle, the Company will notify the customer about the change.

Our Business Description
・Investment Management Business and other related businesses thereto
・Investment Advisory and Agency Business and other related businesses thereto
・Deemed Type II Financial Instruments Business and other related businesses thereto
・Type II Financial Instruments Business and other related businesses thereto
・Other business that may be conducted, and related businesses thereto

Purpose of Use
・To conduct our business
・To conduct appropriate solicitation and marketing of our business
・To identify the person in charge at our business partners and to make necessary contacts
・To provide appropriate services to our customers
・To conduct appropriate talent hiring activities

Provision of Personal Information to Third Parties
We will not provide personal information to third parties except in the following cases:
・When the person concerned has given prior consent
・When required by law, or in accordance with the provisions of the Personal Information Protection Law
・When we provide personal information to our business partners to the extent necessary for the services

Sensitive Information
We will not acquire, use, or provide to third parties any sensitive information as defined in “Article 6 of the Guidelines for Personal Information Protection in the Financial Sector”, except as otherwise provided by law or other guidelines.

Disclosure, Correction, Suspension of Use, etc. of Retained Personal Data under the Act on the Protection of Personal Information
When we receive a request from a customer to disclose, correct, or discontinue the use of retained personal data pertaining to the customer, we will promptly respond to the request after confirming the identity of the customer, unless there is a special reason not to do so.

Management of Personal Information
In order to prevent leakage, loss, or damage of personal information and to otherwise safely manage personal information, we take sufficient security measures, including the maintenance of rules and regulations for handling personal information, access control, restrictions on taking out personal information, measures to prevent unauthorized access from outside, and other safety management measures, and we also take steps to ensure that personal information is accurate and up-to-date as required for the achievement of the purposes of use. We strive to ensure that personal information is accurate and up-to-date as required for the achievement of the purposes of use. In the event that we outsource the handling of personal information to an external party, we will establish criteria for selecting the party to be outsourced, check the information management system of the party to be outsourced, and monitor its performance after the outsourcing, as well as conduct other necessary and appropriate supervision of the party to be outsourced.

Contact for Inquiries and Complaints concerning Personal Information
　Investment Lab Co., Ltd., Compliance Department
　　　Address: FinGATE TERRACE 4F, 8-1 Nihonbashi-kabuto-cho, Chuo-ku, Tokyo 103-0026 Japan
　　　Telephone number: +81-3-5962-3421 (9:00~17:00 Monday through Friday, excluding Holidays)

Name of Authorized Self-Regulatory Industrial Association & Contacts for Complaints and Dispute Resolution
　(1) The Japan Investment Advisers Association (hereinafter referred to as “JIAA”)
　　  Address: Tokyo Shoken Kaikan 7F, 1-5-8 Nihonbashi-kayaba-cho, Chuo-ku, Tokyo 103-0025 Japan
　　  Telephone number: +81-3-3663-0505 (Monday through Friday 9:00 to 17:00, excluding Holidays)
　(2) The Type II Financial Instruments Firms Association (hereinafter referred to as “Type2 FIFA”)
　　  Address: Taiyo Seimei Nihonbashi Bldg. 12F, 2-11-2, Nihombashi, Chuo-ku, Tokyo 103-0027 Japan
　　  Telephone number: +81-3-6910-3980 (Monday through Friday, 9:00 to 17:00, excluding Holidays)

Policy Changes
We will review the contents of this policy from time to time and revise or change it as necessary. In such cases, the Company will publicly announce such changes by posting the revised policy on the Company’s website or by other means.

Solicitation Policy

In accordance with the Act on the Provision of Financial Services, we have established the following solicitation policy for sales of financial products to our customers.

1. To Consider Customers’ Investment Knowledge, Experiences, Financial Conditions and Investment Objectives
We will try to fully understand our customers’ investment knowledge, experiences and objectives, as well as their financial conditions and risk tolerance level, etc., and to solicit proper financial products that match our customers’ actual needs by providing appropriate explanations which is necessary for proper decision making process.

2. To Consider Proper Ways & Timing for Customer Solicitation
We will provide accurate information around details and risks of financial products and will pay sufficient attention to the method of explanations, etc., so that customers themselves can make appropriate investment decisions. When soliciting by telephone or visiting customers, we will conduct solicitation during appropriate hours so as not to inconvenience them.

3. Other Matters Related to Ensuring Appropriateness of Solicitation
When soliciting customers, we will not make definitive judgments or provide false information that may mislead customers, and we will always place the utmost importance on maintaining customer trust and will strive to solicit investments in a customer-oriented manner based on reasonable grounds.
In order to conduct appropriate solicitation, we will always maintain an appropriate management system and strive to raise awareness of compliance with laws and regulations among our officers and employees.
To prevent inappropriate solicitation, we will provide sufficient internal training to our officers and employees to maintain and improve correct product knowledge, and strengthen our internal control system to ensure appropriate solicitation.
We take customer opinions and requests seriously, and strive to reflect them in our solicitation activities. We will strive to respond promptly and appropriately to customer inquiries.

Basic Policy against Anti-Social Forces

We recognize that it is not only indispensable to gain the trust of our customers and stakeholders, but also necessary and important from the viewpoint of fulfilling our social responsibility, to resolutely cut off and eliminate any relationship with antisocial forces.

In addition, the Company shall take a firm stand against antisocial forces, shall not provide any benefits under any name, and shall not have any relationship with antisocial forces.

The Company declares the following items as its basic policy in dealing with antisocial forces:
(1) The Company shall deal with antisocial forces as an organization.
(2) The Company shall deal with antisocial forces in cooperation with external specialized organizations.
(3) The Company shall sever all relationships, including business transactions, with antisocial forces.
(4) In the event of an emergency, we will take legal action, both civil and criminal.
(5) We will not engage in any backroom deals or provide funds to antisocial forces.

Complaints Handling & Dispute Resolution

Contacts: Any inquiries, complaints regarding our business operations are accepted at the following points of contacts:

1. Direct Contact to Our Company
If you have any questions regarding personal information, or if you wish to discontinue provision of personal data to a third party, or if you wish to request disclosure, correction, or complaints, or if you have any other inquiries, please contact us at:
　　　Compliance Department
　　　Phone: +81-3-5962-3421

2. Contact for Legal Complaints Handling and Dispute Resolution Measures
We have taken the following measures for each type of business for which we are registered, as legal complaints handling and dispute resolution measures stipulated in the Financial Instruments and Exchange Law.

(1) Investment Management Business for Qualified Investors, and Investment Advisory and Agency Business
We will take measures to handle complaints and resolve disputes related to Investment Management & Advisory businesses through complaint resolution or mediation conducted by the Japan Investment Advisers Association.
(2) Type II Financial Instruments Business
We will take measures to handle complaints and resolve disputes related to The Type II Financial Instruments Business through complaint resolution or mediation conducted by the Type II Financial Instruments Firms Association.
(3) Deemed Type II Financial Instruments Business
The Company will seek to handle complaints and resolve disputes related to the Deemed Type II Financial Instruments Business through complaint resolution or mediation conducted by the Financial Instruments Mediation Assistance Center (FINMAC).

In accordance with the provisions of laws and ordinances, the Financial Instruments Mediation Assistance Center (FINMAC) will take measures to handle complaints and resolve all disputes related to the Financial Instruments Businesses (Investment Management Business for Qualified Investors, Investment Advisory and Agency Business, Type II Financial Instruments Business, and Deemed Type II Financial Instruments Business) for each type of business, in accordance with the contracts with the Japan Investment Advisers Association and the Type II Financial Instruments Firms Association. Accordingly, the contact points for (1), (2), and (3) above are as follows
　　Financial Instruments Mediation Assistance Center (FINMAC)
　　Address: 2-1-1 Kayabacho, Chuo-ku, Tokyo 103-0025 Japan
　　Phone: +81-120-64-5005 (toll free)
　　(Monday through Friday 9:00 to 17:00, excluding Holidays)

Contact

Please send inquiries to
info@investmentlab.co.jp

Investment Lab Co.,Ltd.
FinGATE TERRACE 4F, 8-1 Nihonbashi Kabuto-cho, Chuo-ku, Tokyo 103-0026, Japan