Company Name
Monolith RIA Inc.
Address
15F Cerulean Tower
26-1 Sakuragaokacho
Shibuya-ku, Tokyo, 150-8512
Japan
Registration
Kanto Local Finance Bureau (Kin-sho) No. 3368
Member of Investment Management Association of Japan
Compensation for investment advisory services agreement
We provide advisory services regarding the analysis of domestic and international stocks, bonds, and investment trusts, or investment decisions based on such analysis. In accordance with the advisory fee schedule below, we will receive advisory fees from you.
The term of the investment advisory contract with us is one year, and it will automatically renew for another year unless you notify us of termination one month prior to the contract expiration date.
Please make payment for the current month by bank transfer or direct debit by the end of the following month.”
This translation captures the essence of the original Japanese text, detailing the advisory services provided, the fee structure, and the terms of the contract renewal and payment methods.
Advisory fee schedule
|
Contract Asset Balance※1 (Unit: JPY millions) | Multi-Asset Management Plan | |
|---|---|---|
| Annual Fee (incl. tax) ※2 | Advisory Fee Rate | |
| Less than JPY 500 million | 1.100% p.a. | 1.10% |
| JPY 500 – 1,000 million | 0.770% p.a. + JPY 1,650,000 | 1.10% – 0.94% |
| JPY 1,000 – 5,000 million | 0.660% p.a. + JPY 2,750,000 | 0.94% – 0.72% |
| JPY 5,000 – 10,000 million | 0.550% p.a. + JPY 8,250,000 | 0.72% – 0.63% |
| JPY 10,000 – 20,000 million | 0.440% p.a. + JPY 19,250,000 | 0.63% – 0.54% |
| JPY 20,000 – 50,000 million | 0.385% p.a. + JPY 30,250,000 | 0.54% – 0.45% |
| JPY 50,000 million and above | 0.330% p.a. + JPY 57,750,000 | 0.45% – |
※2 Annual fees are shown inclusive of consumption tax.
|
Performance (as of the valuation date) | Active Management Plan | |
|---|---|---|
| Annual Fee (incl. tax) ※4 | Performance Fee (incl. tax) ※3 | |
| If less than 15% | 1.65% p.a. | + 11.0% of investment gains |
| If 15% or more | + 16.5% of investment gains | |
Therefore, annual fees and taxes on capital gains or dividends are not deducted from the investment gains.
Risks related to securities and other financial instruments
Domestic Stocks
- Price Fluctuation Risk: Prices may fluctuate, potentially resulting in a loss of invested capital. Additionally, changes in the management and financial condition of stock issuers, as well as external evaluations thereof, may lead to a loss of invested capital or even total loss.
- Issuer Credit Risk: Changes in market conditions or the issuer’s management and financial situation, as well as external evaluations thereof, may impede transactions and pose liquidity risks. Consequently, this could lead to a loss of invested capital.
Overseas Stocks
- In addition to the above, currency fluctuations may lead to losses.
Yen-denominated Bonds
- Price Fluctuation Risk: Bond prices may fluctuate due to changes in interest rates, potentially resulting in a loss of invested capital. Changes in the management and financial condition of bond issuers, as well as external evaluations thereof, may also result in a loss of invested capital or total loss. Furthermore, bonds may be redeemed before maturity, resulting in a loss of invested capital.
- Issuer Credit Risk: Changes in market conditions or the issuer’s management and financial situation, as well as external evaluations thereof, may impede transactions and pose liquidity risks. Consequently, this could lead to a loss of invested capital.
Foreign Currency-denominated Bonds
- In addition to the above, currency fluctuations may lead to losses.
Margin Trading and Related Transactions
- In margin trading and derivative transactions related to securities, significant transactions may exceed the margin deposited as collateral. Therefore, losses exceeding the deposited margin (principal deficit losses) may occur due to the factors mentioned above.
- Changes in the management and financial condition of issuers of stocks or guarantees in margin trading, as well as external evaluations thereof, may cause fluctuations in the prices of stocks subject to margin trading. This could result in losses exceeding the deposited margin.
Disclaimer
- The outcomes of investments made by customers based on our advice are solely attributed to the customers. Our advice does not impose obligations on customers nor does it compel transactions in securities or other financial instruments. In the event of losses incurred by customers as a result of transactions, we do not assume responsibility for compensating such losses.