(a)those with a specified capital amount (meaning the specified capital amount prescribed in Article 16, paragraph (2), item (iv) of the Asset Securitization Act; the same applies in (b)) of at least 1 billion yen;

(b)those with a specified capital amount of at least 30 million yen and the asset-backed securities (meaning asset-backed securities as defined in Article 2, paragraph (xi) of the Asset Securitization Act) issued by them are held only by those set forth in the preceding item, those set forth in Article 1-8-6, paragraph (1), item (ii), (b) of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965), and those set forth in Article 15, paragraph (1), items (i) through (iii) of the Cabinet Office Order Concerning Definitions Under Article 2 of the Financial Instruments and Exchange Act;

(a)the acts are those performed incidentally to purchase and sale transactions of commodities with the other business specialists;

(b)those engaged for the purpose of reducing the risk of losses of the other business specialists that arise from fluctuations in quotations, etc. on a commodity market (meaning quotations, etc. on a commodity market prescribed in Article 29, item (iv) of the Order; the same applies hereinafter).

(a)a document stating its trade name and location of its head office;

(b)a document stating the content of its business;

(c)a document stating the names and titles of the company directors and auditors (directors for a company with audit and supervisory committee, and company directors and executive officers for a company with a nominating committee, etc.; the same applies in Article 36-9 and Article 36-12, paragraph (2), item (ii), (c));

(d)in cases of a company with accounting advisors, a document stating the names of the accounting advisors;

(e)the articles of incorporation;

(f)a certificate of registered information;

(g)documents that show its recent status of business, property, and profit and loss, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year;

(a)documents that state in a consolidated manner the status of business and property for the commodity exchange and its subsidiary company and that show the recent status of their business, property, and profit and loss, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year;

(b)a document stating a forecast of income and expenditures for the commodity exchange and its subsidiary company (including a company that is to become the subsidiary company related to the authorization) for three business years after obtaining the authorization; and

(a)the following means that use an electronic data processing systems:

1.means of transmitting information through a telecommunications line that connects a computer used by a sender and a computer used by a receiver and recording the information in a file on a computer used by the receiver;

2.means of providing the information recorded in a file on a computer used by a sender for the inspection of a receiver of the information through a telecommunications line, and recording the information in a file on a computer used by the receiver;

(b)means of delivering the media that has recorded the information in a file prepared in the form of a magnetic disk or by an equivalent method that can record certain information securely;

(a)means of transmitting information through a telecommunications line that connects a computer used by a sender and a computer used by a receiver and recording the information in a file on a computer used by the receiver;

(b)means of providing the information recorded in a file on a computer used by a sender for the inspection of a receiver of the information through a telecommunications line, and to record the information in a file on a computer used by the receiver; and

(a)cash and cash in bank (excluding cash in bank whose maturity date does not fall within a year);

(b)bills receivable (meaning bill claims (excluding bankruptcy or reorganization claims, etc. (meaning bankruptcy claims, rehabilitation claims or reorganization claims or other equivalent claims; hereinafter the same applies in this item) for which it is clear that payment may not be received within a year) generated based on ordinary transactions (meaning transactions generated currently or within a short term cycle in operating activities for the business of a member commodity exchange; hereinafter the same applies in this Article through Article 16-8));

(c)accounts receivable (meaning the business accounts due (excluding the accounts due in the case where claims related to those accounts due are bankruptcy or reorganization claims, etc. for which it is clear that payment may not be received within a year) generated based on ordinary transactions);

(d)lease claims (excluding bankruptcy or reorganization claims, etc. for which it is clear that collection may not be made within a year) in ownership-transfer finance lease transactions, which were generated based on ordinary transactions, or which were generated based on transactions other than ordinary transactions and whose due date falls within a year;

(e)lease investment assets (excluding bankruptcy or reorganization claims, etc. for which it is clear that collection may not be made within a year) in non-ownership-transfer finance lease transactions, which were generated based on ordinary transactions, or which were generated based on transactions other than ordinary transactions and whose due date falls within a year;

(f)trading securities and securities whose maturity date falls within a year;

(g)commodities (including land, buildings, and other real properties owned for the purpose of sale);

(h)products, byproducts, and scraps;

(i)semi-finished products (including self-made parts);

(j)raw materials and materials (including purchased parts);

(k)work in progress and partly-finished work;

(l)consumable goods, consumable tools, appliances, fixtures, and other stored goods whose value is over a certain amount;

(m)advance payment (meaning advance payment (excluding advance payment in the case where claims related to the advance payment are those for which it is clear that payment may not be received within a year) for purchasing commodities and raw materials (including those equivalent to them);

(n)prepaid expenses which will become expenses within a year;

(o)accrued income; and

(p)other assets which are recognized as to be cashed within a year;

(a)buildings and annexed equipment such as for heating, lighting, and ventilation;

(b)constructions (meaning docks, bridges, quays, piers, tracks, reservoirs, tunnels, chimneys and other civil engineering equipment or structures fixed on land);

(c)machinery, equipment, and transportation equipment such as hoists, conveyors, cranes, and other annexed equipment;

(d)ships and water delivery equipment;

(e)railway vehicles, automobiles, and other land delivery equipment;

(f)tools, appliances, and fixtures (limited to those with a lifespan of one year or more);

(g)land;

(h)lease assets (meaning leased property in cases where the company is the lessee of the leased property in finance lease transactions; the same applies hereinafter) which falls under the articles set forth in sub-items (a) through (g) and sub-item (j);

(i)construction in progress (meaning expenses for the construction of assets set forth in sub-items (a) through (g) which are to be used for business, and materials appropriated for the purpose of the construction); and

(j)other tangible assets which are to be categorized as assets belonging to tangible fixed assets;

(a)patent rights;

(b)land leasehold rights (including surface rights);

(c)trademark rights;

(d)utility model rights;

(e)design rights;

(f)mining rights;

(g)fishery rights (including piscary);

(h)software;

(i)goodwill;

(j)lease assets which fall under the articles set forth in sub-items (a) through (h) and sub-item (k); and

(k)other intangible assets which are to be categorized as assets belonging to intangible fixed assets;

(a)shares (excluding shares falling under trading securities; the same applies hereinafter) of affiliated companies (meaning affiliated companies referred to in Article 2, paragraph (3), item (xxii) of the Regulations on Corporate Accounting (Order of the Ministry of Justice No. 13 of 2006); the same applies in Article 16-6) and securities that do not belong to current assets;

(b)contribution;

(c)long-term loans;

(d)deferred tax assets:

(e)lease claims in ownership-transfer finance lease transactions which are not those set forth in item (i), (d);

(f)lease investment assets in non-ownership-transfer finance lease transactions which are not those set forth in item (i), (e);

(g)other assets which are to be categorized as assets belonging to investments and other assets;

(h)other assets which do not belong to current assets, tangible fixed assets, intangible fixed assets, or deferred tax assets;

(a)bills payable (meaning bill debts generated based on ordinary transactions);

(b)accounts payable (meaning business arrears arising out of ordinary transactions);

(c)advances received (meaning advances received for construction orders, ordered goods, etc.);

(d)allowances (excluding allowances related to assets and those recognized as not to be used within a year);

(e)arrears or deposits received arising out of ordinary transactions which are, as a general business practice, to be paid within a short term after it has arisen;

(f)accrued expenses;

(g)deferred revenue;

(h)lease debts in finance lease transactions whose due date falls within a year;

(i)asset retirement obligations which are recognized as to be performed within a year;

(j)other liabilities which are recognized as to be paid or repaid within a year;

(a)bonds payable;

(b)long-term debts;

(c)allowances (excluding allowances related to assets and those set forth in (d) of the preceding item);

(d)deferred tax liabilities:

(e)goodwill;

(f)lease debts in finance lease transactions which are not those set forth in (i) of the preceding item;

(g)asset retirement obligations which are not those set forth in (j) of the preceding item;

(h)other liabilities which do not belong to current liabilities.

(a)reserves for retirement benefits (meaning reserves to be carried over on the last day of a business year in the case where retirement lump-sum grants, retirement pension, and other similar benefits are paid to an employee after they have retired);

(b)reserves for loss on for returned goods (meaning reserves to be carried over on the last day of a business year in the case where there is a special arrangement related to a buyback for the price at the time of selling, with regard to inventories for sale, at all times);

(a)the value of the property (in cases where the property falls under the property prescribed in (b), excluding the property) which was paid or provided to a member commodity exchange using the contribution made by that member;

(b)the sum of the book value immediately prior to the payment or provision by a person who paid for or provided the property (limited to the property, in cases where the book value immediately prior to the payment or provision by a person who paid for or provided the property as the book value at the member commodity exchange of that property (the appropriate value in cases where that book value is not appropriate; the same applies hereinafter) are required to be indicated) which was paid for or provided to a member commodity exchange using the contribution made by that member;

(c)among the amount of the expenses related to the acceptance of the contribution made, the amount which a member commodity exchange determined to be subtracted from the contribution or the capital surplus;

(a)the amount obtained by deducting the amount set forth in (c) from the sum of the amounts set forth in (a) and (b) of paragraph (1), item (i) of the preceding Article;

(b)the amount recorded in the amount of the contribution upon the making the contribution;

(a)the amount specified in paragraph (1), item (ii) of the preceding Article;

(b)the amount recorded in the amount of the contribution upon the determination;

(a)the sum of the amount recorded in the amount of contribution and capital surplus for the contribution by the member who received the repayment of the equity interest;

(b)the book value of the property repaid by the repayment of the equity interest;

(a)the book value of the property repaid by the repayment of the equity interest;

(b)the sum of the amount recorded in the amount of contribution and capital surplus for the contribution by the member who received the repayment of the equity interest;

(a)in cases where an officer is a foreign national: a copy of the residence certificate, etc. and the curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act;

(b)in cases where an officer is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the officer does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-item (l) of the Act;

(c)in cases where an officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and the curriculum vitae of the officer, a certificate issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), sub-item (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a), or sub-items (c) through (k) of that item;

(a)commodity market related to a listed commodity: persons who have engaged in the purchase and sale, etc. of component products of listed commodities in the commodity market for one year or more on a continuous basis in the course of trade;

(b)commodity market related to a listed commodity index: persons who have engaged in the purchase and sale, etc. of products underlying the listed commodity index (meaning products underlying the listed commodity index prescribed in Article 10, paragraph (2), item (ii) of the Act) in the commodity market for one year or more on a continuous basis in the course of trade;

(a)in cases where a newly appointed officer is a foreign national: a copy of the residence certificate, etc. and a curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act;

(b)in cases where a newly appointed officer is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act;

(c)in cases where a newly appointed officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and a curriculum vitae of the officer, a certificate issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act, and a document pledging that the person does not fall under any of the provisions in sub-items (a) and sub-items (c) through (k) of that item;

(a)when the applicant for authorization is a local government: documents disclosing the recent status of property and income and expenditure of the applicant for authorization;

(b)when the applicant for authorization is a corporation (excluding a local government; the same applies in (c)): the following documents concerning the applicant for authorization:

1.articles of incorporation;

2.certificate of registered information;

3.for officers (excluding an accounting advisor), a copy of the residence certificate, etc. and a curriculum vitae, a certification issued by a public agency that the person does not fall under the provisions of Article 96-20, paragraph (2), item (i), (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act) (excluding the case in which the person is a foreign national), and a document pledging that the person does not fall under any of the provisions of Article 96-20, paragraph (2), item (ii), (a) or (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act), or (c) of that item (if the person is a foreign national, Article 96-20, paragraph (2), item (i), sub-items (a) through (c) of the Act);

4.when the applicant for authorization is a company with accounting advisors, a copy of each accounting advisor's residence certificate, etc. (if the person is a corporation, its certificate of registered information) and curriculum vitae (if the person is a corporation, a document stating the history of the corporation), a certification issued by a public agency proving that the accounting advisor does not fall under the provisions of Article 96-20, paragraph (2), item (i), (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act) (excluding the case in which the person is a foreign national), and a document pledging that the accounting advisor does not fall under any of the provisions of Article 96-20, paragraph (2), item (ii), (a) or (b) of the Act (excluding the part related to Article 15, paragraph (2), item (i), (b) of the Act), or (c) of that item (if the person is a corporation, Article 96-20, paragraph (2), item (i), (b) of the Act (excluding the part related to Article 15, paragraph (2), item (i), (b) and (j) of the Act), or (d) of that item; if the person is a foreign national, Article 96-20, paragraph (2), item (i), sub-items (a) through (c) of the Act);

5.when there is a person who holds more than 5 percent of the voting rights (meaning the voting rights prescribed in Article 9, paragraph (1), item (iii) of the Order; hereinafter the same applies in this 5) of all shareholders, etc. of the applicant for authorization (meaning all shareholders, etc. prescribed in Article 9, paragraph (1), item (iii) of the Order; excluding Article 82, paragraph (1), item (iii) and paragraph (2), item (xiii), (b); the same applies hereinafter), a document stating that person's name, address or residence, nationality and occupation (if the person is a corporation or other organization, its trade name or name, location of its head office or principal office and the content of the business it is conducting) as well as the number of voting rights held;

6.when the application for authorization requires a resolution of a shareholders meeting or the board of company directors meeting (including an equivalent body; hereinafter the same applies in this 6), the minutes of a shareholders meeting or of the board of directors meeting related to the matter, and other documents proving that the necessary procedures have been taken;

7.a document stating the content of business;

8.documents disclosing the recent status of business, property and income and expenditure of the applicant for authorization, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year;

9.when the applicant for authorization is a foreign commodity market establisher (meaning a foreign commodity market establisher prescribed in Article 11, item (ii) of the Order; the same applies hereinafter), a document proving that the establisher has obtained the same type of permission as the permission under Article 9 or Article 78 of the Act, or authorization similar to the permission, or other administrative dispositions in the country where the applicant's head office or principal office is located;

10.when the applicant for authorization is a foreign commodity market establisher holding company (meaning a foreign commodity market establisher holding company prescribed in Article 11, item (iii) of the Order; hereinafter the same applies in this 10 and 13), a document proving that the authority responsible for enforcement of the laws and regulations of the country where the head office or principal office of the applicant for authorization is located which correspond to the Act (including orders based on the Act) has granted the same type of authorization as the authorization under Article 96, paragraph (25), item (i) of the Act or has granted permission similar to the authorization, or taken other acts concerning the fact that the applicant for authorization is a foreign commodity market establisher holding company;

11.when the applicant for authorization is a foreign financial instruments exchange market establisher (meaning a foreign financial instruments exchange market establisher prescribed in Article 60-2, paragraph (1), item (vi) of the Financial Instruments and Exchange Act; the same applies hereinafter), a document proving that the applicant for authorization has obtained the same type of license as the license under Article 80, paragraph (1) of the Financial Instruments and Exchange Act or permission similar to the license, or other administrative dispositions in the country where its head office or principal office is located;

12.when the applicant for authorization is a foreign financial instruments exchange market establisher holding company (meaning a foreign financial instruments exchange market establisher holding company prescribed in Article 11, item (v) of the Order; hereinafter the same applies in this 12 and 13), a document proving that the authority responsible for enforcement of the laws and regulations of the country where the head office or principal office of the applicant for authorization is located which correspond to the Financial Instruments and Exchange Act (including orders based on that Act) has granted the same type of authorization as the authorization under Article 106-10, paragraph (1) of the Financial Instruments and Exchange Act or has granted permission similar to the authorization, or taken other acts concerning the fact that the applicant for authorization is a foreign financial instruments exchange market establisher holding company;

13.when the applicant for authorization is a foreign commodity market establisher, a foreign commodity market establisher holding company, a foreign financial instruments exchange market establisher, or a foreign financial instruments exchange market establisher holding company, documents that disclosing that the incorporated commodity exchange of which these persons, with the authorization under Article 96-19, paragraph (1), seeks to obtain or hold subject voting rights of a number greater than the holding ratio threshold (meaning the holding ratio threshold prescribed in the main clause of Article 86, paragraph (1) of the Act; the same applies in item (iii)) of the voting rights (meaning the voting rights prescribed in the main clause of Article 86, paragraph (1) of the Act; the same applies in item (iii)) of all shareholders, but less than 50 percent is a subsidiary company (meaning a subsidiary company prescribed in Article 3-2, paragraph (3) of the Act) of a commodity exchange, etc. (meaning a commodity exchange, commodity exchange holding company, financial instrument exchange, or financial instrument exchange holding company prescribed in the proviso to Article 86, paragraph (1) of the Act);

(c)when the applicant for authorization is other than a local government or a corporation: the following documents concerning the applicant for authorization:

1.a document stating their occupation;

2.a copy of the residence certificate, etc.;

3.a certification issued by a public agency proving that the applicant for authorization does not fall under the provisions of Article 96-20, paragraph (2), item (i), (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act) (excluding the case in which the person is a foreign national), and a document pledging that the applicant does not fall under any of the provisions of Article 96-20, paragraph (2), item (i), (a) or (b) of the Act (limited to the part related to Article 15, paragraph (2), item (i), (b) of the Act), or (c) of that item (if the person is a foreign national, Article 96-20, paragraph (2), item (i), sub-items (a) through (c) of the Act);

(a)a document stating the reason it has an incorporated commodity exchange as its subsidiary company;

(b)the following documents concerning the applicant for authorization:

1.certificate of registered information;

2.a copy of the residence certificate, etc. and a curriculum vitae of the company director and the company auditor, a certification issued by a public agency proving that these persons do not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which these persons are foreign nationals), and a document pledging that these persons do not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item (if these persons are foreign nationals, sub-items (a) through (k) of that item);

3.when the applicant for authorization is a company with accounting advisors, a copy of each accounting advisor's residence certificate, etc. (if the person is a corporation, its certificate of registered information) and curriculum vitae (if the person is a corporation, a document stating the history of the corporation), a certification issued by a public agency proving that the accounting advisor does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which the person is a foreign national), and a document pledging that the accounting advisor does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item (if the person is a corporation, sub-items (c) through (i) and sub-item (l) of that item; if the person is a foreign national, sub-items (a) through (k) of that item);

4.when there is a person who holds voting rights exceeding 5 percent of the voting rights of all shareholders of the applicant for authorization (meaning voting rights prescribed in the main clause of Article 86, paragraph (1); hereinafter the same applies in this 4 and (b), 3 of the following item), documents stating the person's name, address or residence, nationality and occupation (when the person is a corporation or other organization, its trade name or name, the location of its head office or principal office and the content of the business it is conducting), and the number of voting rights the person holds;

5.minutes of a shareholders meeting or a board of directors meeting and other documents proving that necessary procedures have been taken;

6.documents stating the content of its business;

7.documents disclosing the recent status of business, property and income and expenditure of the applicant for authorization, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year;

8.a document stating the system related to the business management of the incorporated commodity exchange which the applicant for authorization seeks to make its subsidiary company by obtaining the authorization under the main clause of Article 96-25, paragraph (1) or the proviso to paragraph (3) of the Act;

9.a document stating the status of securing employees who have the knowledge and experience on the business of an incorporated commodity exchange;

(c)the following documents concerning an incorporated commodity exchange which the applicant for authorization seeks to make its subsidiary company by obtaining the authorization under the main clause of Article 96-25, paragraph (1) or the proviso to paragraph (3) of the Act;

1.a document stating its trade name and the location of its head office;

2.a document stating the titles and names of its company directors and company auditors;

3.when the incorporated commodity exchange is a company with accounting advisors, a document stating the names of the accounting advisors;

4.documents disclosing the recent status of business, property and income and expenditure of the incorporated commodity exchange, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year;

(d)a document stating a forecast of income and expenditures for the applicant for authorization and the incorporated commodity exchange that is its subsidiary company for the three business years after obtaining the authorization under the main clause of Article 96-25, paragraph (1) or the proviso to paragraph (3) of the Act;

(e)documents stating other information to be used as a reference for certifying whether the criteria set forth in Article 96-27, paragraph (1) of the Act have been met;

(a)a document stating the reason for establishing a company that has an incorporated commodity exchange as its subsidiary company;

(b)the following documents concerning the company to be established by obtaining the authorization (hereinafter referred to as the "established company" in this item):

1.a copy of the residence certificate, etc. and curriculum vitae of the company director and company auditor, and a certification issued by a public agency proving that these persons do not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which the persons are foreign nationals), and a document pledging that these persons do not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item (if these persons are foreign nationals, sub-items (a) through (k) of that item);

2.when the established company is a company with accounting advisors, a copy, of each accounting advisor's residence certificate, etc. (if the person is a corporation, its certificate of registered information) and curriculum vitae (if the person is a corporation, a document stating the history of the corporation), a certification issued by a public agency proving that the accounting advisor does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act (excluding the case in which the person is a foreign national), and a document pledging that the accounting advisor does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item (if the person is a corporation, sub-items (c) through (i) and sub-item (l) of that item; if the person is a foreign national, sub-items (a) through (k) of that item);

3.when there is a person who seeks to hold voting rights that exceed 5 percent of the voting rights of all shareholders of the established company, documents stating the person's name, address or residence, nationality and occupation (when the person is a corporation or other organization, its trade name or name, the location of its head office or principal office, and the content of the business it is conducting), and the number of voting rights sought to be held;

4.in the case that the establishment requires a resolution of an organizational meeting, the minutes of the organizational meeting concerning the establishment (in cases of establishment through share transfer, merger or split, the minutes of a shareholders meeting concerning the establishment) and other documents proving that necessary procedures have been taken;

5.a document stating the content of the business;

6.documents disclosing the amount of stated capital and the status of other property after the establishment;

7.a document stating the system related to business management of the incorporated commodity exchange which the applicant for authorization seeks to make its subsidiary company by obtaining the authorization under the main clause of Article 96-25, paragraph (1) of the Act;

8.a document stating the status of securing employees that have knowledge and experience on the business of an incorporated commodity exchange;

(c)the following documents concerning the incorporated commodity exchange the established company seeks to make its subsidiary company:

1.a document stating its trade name and the location of its head office;

2.a document stating the titles and names of its company directors and company auditors;

3.when the incorporated commodity exchange is a company with accounting advisors, a document stating the names of the accounting advisors;

4.documents disclosing the recent status of business, property, and income and expenditure of the incorporated commodity exchange, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year;

(d)a document stating a forecast of income and expenditures for the established company and the incorporated commodity exchange that is its subsidiary company for three business years after the establishment; and

(e)documents stating other information to be used as a reference for certifying whether the criteria set forth in Article 96-27, paragraph (1) of the Act have been met.

(a)a document stating its trade name and the location of its head office;

(b)a document stating the content of its business;

(c)a document stating the names and titles of its company directors and company auditors;

(d)when the company is a company with accounting advisors, a document stating the names of the accounting advisors;

(e)the articles of incorporation;

(f)its certificate of registered information;

(g)documents disclosing its recent status of business, property, and profit and loss, such as the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year;

(a)the balance sheet, profit and loss statement, and statement of changes in net assets for the immediately preceding business year that state the status of business and property for the commodity exchange holding company and its subsidiary company in a consolidated manner and other documents disclosing the recent status of business, property, and profit and loss of those companies;

(b)a document stating a forecast of income and expenditures for the commodity exchange holding company and its subsidiary company (including the company that will become the subsidiary company related to the authorization; the same applies in (c)) for three business years after the authorization;

(c)a document stating the system related to the business management of the subsidiary company the commodity exchange holding company is to conduct;

(a)in cases where accounts receivable from a consignor, etc. (excluding receivables for which the term is less than 2 weeks) exceeds the total amount of cash, securities, or other goods received in deposit from the consignor, etc. and cash belonging to the account of the consignor, etc. (excluding cash equivalent to profit for transactions on the account of the consignor, etc. the settlement of which has not been completed) for commodity derivatives transactions, the amount of the excess;

(b)short-term loans to affiliated companies (excluding consolidated companies) (excluding loans of call money to financial institutions (banks, cooperative structured financial institutions (meaning cooperative structured financial institutions as defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institution (Act No. 44 of 1993), or financial institutions set forth in the items of Article 1-9 of the Order for Enforcement of the Financial Instruments and Exchange Act; hereinafter the same applies in this (b)), trust companies, or financial instruments business operators) and loans related to purchases of bills of exchange issued by financial institutions or financial instruments business operators in Japan);

(c)advance payments;

(d)prepaid expenses;

(a)intangible fixed assets;

(b)long-term accounts receivable;

(c)long-term loans;

(d)long-term prepaid expenses;

(e)deferred tax assets;

(a)securities issued by affiliated companies (excluding those related to short-term corporate bonds prescribed in Article 66, item (i) of the Act on Book-Entry Transfer of Corporate Bonds and Shares (Act No. 75 of 2001), short-term bonds prescribed in Article 61-10, paragraph (1) of the Insurance Business Act, and specified short-term bonds prescribed in Article 2, paragraph (8) of the Asset Securitization Act, as well as commercial paper (securities set forth in Article 2, paragraph (1), item (xv) of the Financial Instruments and Exchange Act and securities set forth in item (xvii) of that paragraph having the same character as the securities set forth in item (xv) of that paragraph; the same applies in (b)), securities obtained through assumption with a holding period not exceeding 6 months, and those clearly not deliberately held for the purpose of providing funds to affiliated companies, notwithstanding the status of purchase or sale);

(b)commercial paper or corporate bonds issued by another company or third parties (limited to cases in which a commodity derivatives business operator has accepted a capital procurement means from the other company, and the commodity derivatives business operator deliberately holds the commercial paper or corporate bonds);

(c)securities or corporate bond certificates with share options set forth in Article 2, paragraph (1), items (vi) through (viii) of the Financial Instruments and Exchange Act, or securities set forth in item (xvii) of that paragraph having the same character as those securities (excluding securities listed on financial instruments exchanges or by foreign financial instruments exchange market establishers, securities and Japanese government bonds registered in the register of over-the-counter traded securities referred to in Article 67-11, paragraph (1) of the Financial Instruments and Exchange Act (including similar registers kept in foreign countries), and securities obtained through assumption with a holding period not exceeding 6 months).

(a)a means of transmitting information through a telecommunications line that connects a computer used by a member, etc. and a computer used by a consignor, etc. and recording the information in a file on a computer used by the receiver;

(b)a means of providing information concerning the consent of the consignor, etc. recorded in a file on a computer used by a member, etc. for the inspection of consignors, etc. through a telecommunications line, and recording information concerning the consent of the consignor, etc. in a file on a computer used by the member, etc.;

(a)a bank;

(b)the Shoko Chukin Bank, Ltd.;

(c)a credit cooperative;

(d)a Shinkin Bank;

(e)The Norinchukin Bank;

(f)an agricultural cooperative or a federation of agricultural cooperatives which can accept deposits or savings in the course of trade;

(a)the provisions of the articles of incorporation prescribed in Article 139, paragraph (1), Article 140, paragraph (5), or Article 145, item (i) or (ii) of the Companies Act;

(b)the provisions of the articles of incorporation prescribed in Article 164, paragraph (1) of the Companies Act;

(c)the provisions of the articles of incorporation prescribed in Article 167, paragraph (3) of the Companies Act;

(d)the provisions of the articles of incorporation prescribed in Article 168, paragraph (1), or Article 169, paragraph (2) of the Companies Act;

(e)the provisions of the articles of incorporation prescribed in Article 174 of the Companies Act;

(f)the provisions of the articles of incorporation prescribed in Article 347 of the Companies Act;

(g)the provisions of the articles of incorporation prescribed in Article 26, item (i) or (ii) of the Order for Enforcement of the Companies Act;

(a)the president or directors of the member commodity exchange that submitted a proposal concerning the falsification of the performance of contribution at the general meeting of members;

(b)the president or directors of the member commodity exchange that agreed to the decision on the submitted proposal referred to in (a).

(a)in cases where an officer of an incorporated commodity exchange after entity conversion is a foreign national: a copy of the residence certificate, etc. and curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act;

(b)in cases where an officer of an incorporated commodity exchange after entity conversion is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the officer does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act;

(c)in cases where an officer of an incorporated commodity exchange after entity conversion is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and curriculum vitae of the officer, a certificate of a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), sub-item (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) or sub-items (c) through (k) of that item;

(a)a document proving an application to subscribe for the shares issued upon entity conversion;

(b)when making money the object of the contribution, a document proving that payment under the provisions of Article 131-3, paragraph (1) of the Act was made;

(c)when making property other than money the object of the contribution, the following documents:

1.when an inspector has been appointed, a document stating the investigation report by the inspector and its annexed documents;

2.in the case set forth in Article 207, paragraph (9), item (iii) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act: a document proving the market price of the securities;

3.in the case set forth in Article 207, paragraph (9), item (iv) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act, a document stating the certification prescribed in that item and its annexed documents;

4.in the case set forth in Article 207, paragraph (9), item (v) of the Companies Act as applied mutatis mutandis pursuant to Article 131-6 of the Act, accounting books stating the monetary claim referred to in that item;

(d)when a judicial decision has been rendered on a report by an inspector, a transcript of the judicial decision;

(a)an inventory of property and a balance sheet for the final business year (for a member commodity exchange, the latest business year in cases where approval under Article 68 of the Act was received for settlement related documents, etc. prescribed in Article 66, paragraph (1) of the Act for each business year, and for an incorporated commodity exchange, the final business year prescribed in Article 2, item (xxiv) of the Companies Act; the same applies hereinafter), and the content of a profit and loss statement prepared together with the balance sheet;

(b)when an event that has a significant influence on the status of the property of the member commodity exchange surviving an absorption-type merger, such as the disposition of important property and the sharing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange surviving an absorption-type merger), the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144, paragraph (4) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year);

(a)the content of financial statements, etc. for the final business year (in cases where the final business year does not exist, the content of a balance sheet on the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger);

(b)when there are provisional financial statements, etc. (meaning provisional financial statements, etc. referred to in Article 2, paragraph (3), item (xiii) of the Order for Enforcement of the Companies Act; the same applies hereinafter) that consider the day after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger; the same applies in (c)) as the provisional account closing day (meaning a provisional account closing day prescribed in Article 441, paragraph (1) of the Companies Act; the same applies hereinafter) (if there are two or more provisional account closing days, the last one), the content of the provisional financial statements, etc.;

(c)when an event that has a significant influence on the status of the property of the incorporated commodity exchange surviving an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year, the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144, paragraph (4) of the Act and the day when the absorption-type merger comes into effect, limited to the content of an event that occurred after the last day of the new final business year);

(a)an inventory of property and a balance sheet for the final business year and the content of a profit and loss statement prepared together with the balance sheet;

(b)when an event that has a significant influence on the status of the property of the member commodity exchange dissolved in an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange dissolved in an absorption-type merger; the same applies in item (iv)), the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-2, paragraph (2) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year);

(a)the progress of the procedures related to the demand under the provisions of Article 144, paragraph (5) of the Act;

(b)the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144, paragraph (6) of the Act;

(a)the progress of the procedures related to the demand under the provisions of Article 144-2, paragraph (3) of the Act;

(b)the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144-2, paragraph (4) of the Act;

(a)an inventory of property and a balance sheet for the final business year and the content of a profit and loss statement prepared together with the balance sheet;

(b)when an event that has a significant influence on the status of the property of another member commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other member commodity exchange dissolved in a consolidation-type merger) at the other member commodity exchange dissolved in a consolidation-type merger, the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-3, paragraph (4) of the Act and the day of the establishment of the member commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year);

(a)financial statements, etc. or an inventory of property, and a balance sheet for the final business year, and the content of a profit and loss statement prepared together with the balance sheet (in cases where the final business year does not exist, a balance sheet on the day of the establishment of another incorporated commodity exchange dissolved in a consolidation-type merger);

(b)when there are provisional financial statements, etc. that considers the day after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other commodity exchange dissolved in a consolidation-type merger) as a provisional account closing day (in cases where there are two or more provisional account closing days, the last one), the content of the provisional financial statements, etc.;

(c)when an event that has a significant influence on the status of the property of another commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other commodity exchange dissolved in a consolidation-type merger) at the other commodity exchange dissolved in a consolidation-type merger, the content of the event (in cases where a new final business year emerges during the period between 10 days prior to a general meeting of members referred to in Article 144-3, paragraph (4) of the Act and the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year);

(a)an inventory of property and a balance sheet for the final business year and the content of a profit and loss statement prepared together with the balance sheet;

(b)when an event that has a significant influence on the status of the property of the member commodity exchange dissolved in an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the member commodity exchange dissolved in an absorption-type merger; the same applies in item (iv)), the content of the event (in cases where a new final business year emerges during the period between the earliest day among the days set forth in the items of Article 144-5, paragraph (1) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year);

(a)when an event that has a significant influence on the status of the property of the incorporated commodity exchange surviving an absorption-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger), the content of the event (in cases where a new final business year emerges during the period between the earliest day among the days set forth in the items of Article 144-5, paragraph (1) of the Act and the day when the absorption-type merger becomes effective, limited to the content of an event that occurred after the last day of the new final business year);

(b)when the final business year does not exist for the incorporated commodity exchange surviving an absorption-type merger, a balance sheet as of the day of the establishment of the incorporated commodity exchange surviving an absorption-type merger;

(a)when the public notice has been given in an Official Gazette, the date of the issuance of the Official Gazette and the page containing the public notice;

(b)when the public notice has been given in a daily newspaper which publishes matters on current events, the name and the date of the issuance of the daily newspaper and the page containing the public notice;

(c)when the public notice has been given by electronic public notice, the information set forth in Article 911, paragraph (3), item (xxviii), (a) of the Companies Act;

(a)the progress of the procedures related to the demand under the provisions of Article 144, paragraph (5) of the Act;

(b)the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144, paragraph (6) of the Act;

(a)the progress of the procedures related to the demand under the provisions of Article 144-9 of the Act;

(b)the progress of the procedures under the provisions of Article 144-10 of the Act (with regard to paragraph (3) of that Article, limited to the part to which Article 797, paragraphs (5) through (9) of the Companies Act are applied mutatis mutandis) and Article 144-11, paragraphs (1) through (5) of the Act;

(a)financial statements, etc. or an inventory of property, and a balance sheet for the final business year, and the content of a profit and loss statement prepared together with the balance sheet (in cases where the final business year does not exist, a balance sheet on the day of the establishment of the other incorporated commodity exchange dissolved in a consolidation-type merger);

(b)when there are provisional financial statements, etc. that consider the day after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other incorporated commodity exchange dissolved in a consolidation-type merger) as the provisional account closing day (in cases where there are two or more provisional account closing days, the last one), the content of the provisional financial statements, etc.;

(c)when an event that has a significant influence on the status of the property of another commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the other commodity exchange dissolved in a consolidation-type merger) at the other commodity exchange dissolved in a consolidation-type merger, the content of the event (in cases where a new final business year emerges during the period between the earliest day among the days set forth in the items of Article 144-13, paragraph (1) of the Act and the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year);

(a)when an event that has a significant influence on the status of the property of the incorporated commodity exchange dissolved in a consolidation-type merger, such as the disposition of important property and the bearing of significant obligations has occurred after the last day of the final business year (in cases where the final business year does not exist, the day of the establishment of the incorporated commodity exchange dissolved in a consolidation-type merger) at the incorporated commodity exchange dissolved in a consolidation-type merger, the content of the event (in cases where a new final business year emerges during the period between the earliest day among the days set forth in the items of Article 144-13, paragraph (1) of the Act and the day of the establishment of the incorporated commodity exchange established by a consolidation-type merger, limited to the content of an event that occurred after the last day of the new final business year);

(b)when the final business year does not exist for the incorporated commodity exchange dissolved in a consolidation-type merger, the balance sheet on the day of the establishment of the incorporated commodity exchange dissolved in a consolidation-type merger;

(a)the progress of the procedures related to the demand under the provisions of Article 144-3, paragraph (5) of the Act;

(b)the progress of the procedures under the provisions of Article 124 of the Act as applied mutatis mutandis pursuant to Article 144-3, paragraph (6) of the Act;

(a)the process of the procedures related to the demand under the provisions of Article 144-16 of the Act;

(b)the progress of the procedures under the provisions of Article 144-17, paragraphs (1) and (2) of the Act (limited to the part to which Article 806, paragraphs (5) through (9) of the Companies Act are applied mutatis mutandis), Article 144-18, paragraphs (1) and (2) of the Act (limited to the part to which Article 808, paragraphs (5) through (10) of the Companies Act are applied mutatis mutandis), and Article 144-11, paragraphs (1) through (5) of the Act as applied mutatis mutandis pursuant to Article 144-19 of the Act;

(a)in cases where an officer of a commodity exchange surviving a merger or a commodity exchange established by a merger is a foreign national: a copy of the residence certificate, etc. and curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act;

(b)in cases where an officer of a commodity exchange surviving a merger or a commodity exchange established by a merger is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the officer does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act;

(c)in cases where an officer of a commodity exchange surviving a merger or a commodity exchange established by a merger is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and curriculum vitae of the officer, a certification issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) or sub-items (c) through (k) of that item;

(a)the closing price in the market where the shares are traded on the date of sale (if there is no buying or selling transaction on the date of the sale, or if the date of the sale is a holiday of the market, the price of the first buying and selling transactions conducted after the date of the sale); or

(b)if the shares are subject to a tender offer, etc. on the date of the sale, the price of the shares under the contract related to the tender offer, etc. on the date of the sale.

(a)a document that states the reasons for the change;

(b)a comparative table of the prior and amended provisions;

(c)minutes of a general meeting of members and other documents proving that necessary procedures have been taken;

(d)a document proving that the total number of persons who are members of the member commodity exchange seeking to establish a commodity market for each commodity market which is planned to be newly established and who seek to conduct transactions in the commodity market, and persons who seek to become members of the member commodity exchange seeking to conduct transactions in the commodity market (limited to persons who have completed payment of the full amount of the contribution) are 20 or more;

(e)a document pledging that the majority of persons who are or seek to become members prescribed in sub-item (d) fall under the persons specified in the items of Article 10, paragraph (2) of the Act in relation to the commodity market;

(f)a document pledging that the person who seeks to become a member, etc. of the commodity exchange and seeks to conduct transactions in the commodity market does not fall under any of the provisions of the items of Article 31, paragraph (1) of the Act;

(g)in cases of completing settlements by the method set forth in Article 105, item (i) of the Act at one or more commodity markets which are planned to be newly established, a record concerning the amount of the net assets of a person who is or seeks to become a member prescribed in (d) which is prepared according to Form No. 1 within 30 days prior to the date of filing the application of authorization;

(h)a document stating the estimated transaction volume of futures transactions in a commodity market which the person seeks to open for one year after opening the commodity market;

(i)in cases of seeking to open a commodity market related to a listed commodity, a document stating that it is appropriate to conduct transactions of component products of listed commodities in a single commodity market;

(j)in cases of seeking to open a commodity market by specifying two or more commodity indices as a single listed commodity index, a document stating that the majority of the goods or electric power subject to the two or more commodity indices are common to one another;

(a)a document that states the reasons for the change;

(b)a comparative table of the prior and amended provisions;

(c)minutes of a general meeting of members and other documents proving that necessary procedures have been taken;

(d)in cases where settlement is completed in a commodity market related to the change by a method set forth in Article 105, item (i) of the Act and the minimum amount of the net assets of members who conduct transactions in the commodity market has been changed, a record concerning the amount of the net assets of members which is prepared according to Form No. 1 within 30 days prior to the filing of the application for authorization;

(e)a document stating the estimated transaction volume of futures transactions in a commodity market related to the change for one year after the change;

(f)in cases of changing the scope of a listed commodity, a document stating that it is appropriate to conduct transactions of two or more component products of listed commodities in a single commodity market;

(g)in cases of changing the scope of a listed commodity index that specify two or more commodity indices as a single listed commodity index, a document stating that the majority of goods or electric power subject to the two or more commodity indices are common to one another;

(a)a document that states the reasons for the change;

(b)a comparative table of the prior and amended provisions;

(c)minutes of a general meeting of members and other documents proving that necessary procedures have been taken;

(d)a document stating the estimated transaction volume of futures transactions in the commodity market related to the change for one year after the change;

(a)a document that states the reasons for the change;

(b)a comparative table of the prior and amended provisions;

(c)minutes of a general meeting of members or a shareholders meeting and other documents proving that necessary procedures have been taken.

(a)a document that states the reasons for the change;

(b)a comparative table of the prior and amended provisions;

(c)a document proving that procedures for changes specified by the articles of incorporation or other rules have been completed;

(d)a document proving that the total number of persons who are trading participants of an incorporated commodity exchange seeking to establish a commodity market for each commodity market which is planned to be newly established and who seek to conduct transactions in the commodity market, and persons who seek to become trading participants of the incorporated commodity exchange and seek to conduct transactions in the commodity market is 20 or more;

(e)a document pledging that the majority of persons who are or seek to become trading participants prescribed in (d) fall under the persons specified in Article 28, paragraph (1), item (v), (a) or (b) with regard to the commodity market;

(f)a document pledging that the person who seeks to become a trading participant of the incorporated commodity exchange and seeks to conduct transactions in the commodity market does not fall under any of the provisions of the items of Article 31, paragraph (1) of the Act;

(g)in cases of completing settlements by the method set forth in Article 105, item (i) of the Act at one or more commodity markets which are planned to be newly established, a record concerning the amount of the net assets of a person who is or seeks to become a trading participant prescribed in (d) which is prepared according to Form No. 1 within 30 days prior to the date of filing the application for authorization;

(h)a document stating the estimated transaction volume of futures transactions in a commodity market which the person seeks to open for one year after the opening;

(i)in cases of seeking to open a commodity market related to a listed commodity, a document stating that it is appropriate to trade component products of listed commodities in a single commodity market;

(j)in cases of seeking to open a commodity market by specifying two or more commodity indices as a single listed commodity index, a document stating that the majority of the goods or electric power subject to the two or more commodity indices are common to one another;

(a)a document that states the reasons for the change;

(b)a comparative table of the prior and amended provisions;

(c)a document proving that procedures for changes specified by the articles of incorporation or other rules have been completed;

(d)in cases of completing a settlement in a commodity market related to the change by a method set forth in Article 105, item (i) of the Act and the minimum amount of the net assets of trading participants who conduct transactions in the commodity market has been changed, a record concerning the amount of the net assets of trading participants which is prepared according to Form No. 1 within 30 days prior to the filing of the application for authorization;

(e)a document stating the estimated transaction volume of futures transactions in the commodity market related to the change for one year after the change;

(f)in cases of changing the scope of a listed commodity, a document stating that it is appropriate to conduct transactions of two or more component products of listed commodities on a single commodity market;

(g)in cases of changing the scope of a listed commodity index that specifies two or more commodity indices as a single listed commodity index, a document stating that the majority of goods or electric power subject to the two or more commodity indices are common to one another;

(a)a document that state the reasons for the change;

(b)a comparative table of the prior and amended provisions;

(c)a document proving that procedures for changes specified by the articles of incorporation or other rules have been completed;

(d)a document stating the estimated transaction volume of futures transactions in the commodity market related to the change for one year after the change;

(a)a document that states the reasons for the change;

(b)a comparative table of the prior and amended provisions;

(c)a document proving that procedures for changes specified by the articles of incorporation or other rules have been completed.

(a)the total number of voting rights held by the corporation, etc. on its own account and the voting rights held by persons who are found to exercise their voting rights in the manner intended by the corporation, etc. due to a close relationship in terms of contribution, personnel affairs, funds, technology, transactions or other matters, and by persons who agree to exercise their voting rights in the manner intended by the corporation, etc., constitute a majority of the voting rights of the other corporation, etc.;

(b)persons who are officers (meaning company directors, executive officers, accounting advisors (when an accounting advisor is a corporation, including a member who is to perform the duties of the corporation), company auditors, or persons holding a position similar to these positions) of the corporation, etc., members or employees of the corporation, etc. who execute the business, or persons who formerly held those positions, and are capable of influencing the decision of the other corporation, etc. with regard to its financial and operational or business policies, account for a majority of the members of the board of directors or other equivalent organ of the other corporation, etc.;

(c)there is a contract, etc. concluded between the corporation, etc. and the other corporation, etc. which provides for control over decision of the other corporation, etc. with regard to its important financial and operational or business policies;

(d)the corporation, etc. provides a loan (including guarantee of obligations and provision of collateral; the same applies hereinafter) that accounts for more than half of the total amount of the procured funds of the other corporation, etc. (limited to those recorded in the liability section of the balance sheet) (including cases where the amount of the loan accounts for more than half of the total amount of the procured funds when combined with the amount of the loan provided by a person that has a close relationship with the corporation, etc. in terms of contribution, personnel affairs, funds, technology, transactions or other matters);

(e)there is other fact implying that the corporation, etc. has control over the decision-making body of the other corporation, etc.;

(a)any person who is or was an officer, member that executes business, or employee of the corporation, etc., and capable of influencing the decision of the other corporation, etc. with regard to its financial and operational or business policies, has been appointed as a representative director, company director, or an equivalent post of the other corporation, etc.;

(b)important loan is provided by the corporation, etc.;

(c)important technology is provided by the corporation, etc.;

(d)it conducts important operational or business transactions with the corporation, etc.;

(e)there is other fact implying that the corporation, etc. is able to exert a material influence on decisions with regard to its financial and operational or business policies;

(a)in cases where an officer is a foreign national: a copy of the residence certificate, etc., and a curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act;

(b)in cases where an officer is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act;

(c)in cases where an officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc., and a curriculum vitae of the officer, a certification issued by a public agency that the person does not fall under the provisions of Article 15, paragraph (2), item (i), sub-item (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item;

(a)in cases where an officer is a foreign national: a copy of the residence certificate, etc., and a curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act;

(b)in cases where an officer is a corporation: a certificate of the registered information of the officer (in cases of a foreign corporation, a document equivalent to the certificate of the registered information), a document stating the history of the corporation, and a document pledging that the officer does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act;

(c)in cases where an officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and a curriculum vitae of the officer, a certification issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item;

(a)a curriculum vitae of the person responsible for the management of the business;

(b)internal rules concerning the business;

(c)a document stating the name of the department and the structure of the organization performing the business;

(d)a document stating the standard for initiation of a transaction with a customer related to the business;

(e)the written contract to be used when conducting transactions with a customer related to the business.

(a)a certificate of registered information;

(b)a document specified as follows in accordance with the cases set forth in each sub-item:

1.when a newly appointed officer is a foreign national: a copy of the residence certificate, etc. and a curriculum vitae of the officer, and a document pledging that the person does not fall under any of the provisions of Article 15, paragraph (2), item (i), sub-items (a) through (k) of the Act;

2.when a newly appointed officer is a corporation: a certificate of the registered information of the officer, a document stating the history of the corporation, and a document pledging that the officer does not fall under the provisions of Article 15, paragraph (2), item (i), (l) of the Act;

3.when a newly appointed officer is neither a foreign national nor a corporation: a copy of the residence certificate, etc. and a curriculum vitae of the officer, a certification issued by a public agency proving that the person does not fall under the provisions of Article 15, paragraph (2), item (i), (b) of the Act, and a document pledging that the person does not fall under any of the provisions of sub-item (a) and sub-items (c) through (k) of that item;

(c)a document stating the personnel structure and the system for conducting business of the organization, etc. concerning the commodity derivatives business.

(a)a document stating the content of the change, the date of the change, and the reason for the change;

(b)a document stating the personnel structure and the system for conducting business of the organization, etc. concerning the commodity derivatives business;

(c)when the acts set forth in Article 2, paragraph (22), item (v) of the Act are to be newly performed in the course of trade: the following documents:

1.a curriculum vitae of the person responsible for the management of the business;

2.internal rules concerning the business;

3.a document stating the name of the department and the structure of the organization performing the business;

4.a document stating the standard for initiation of a transaction with a customer related to the business;

5.the written contract to be used when conducting transactions with a customer related to the business.

(a)a document stating the total amount of stated capital, the total amount of investment, and the total amount of funds before the change and after the change, the method for the change, and the reason for the change;

(b)a certificate of registered information.

(a)a document stating the changed name of the commodity market related to the entrustment of transactions, etc. in a commodity market or transactions, etc. in a foreign commodity market (including the name or trade name of the commodity exchange establishing the commodity market or the foreign commodity market establisher establishing the foreign commodity market) and the date of the change;

(b)minutes of the board of directors (including equivalent organs) and other documents proving that necessary procedures have been taken.

(a)a document stating the name of the consignor protection fund joined or withdrawn from and the date of joining or withdrawing from the fund;

(b)minutes of the board of directors (including equivalent organs) and other documents proving that necessary procedures have been taken ;

(a)a document stating the name of the association joined or withdrawn from and the date of joining or withdrawing from the association;

(b)minutes of the board of directors (including equivalent organs) and other documents proving that necessary procedures have been taken.

(a)a document stating the fact that the commodity derivatives business has been commenced, suspended, or resumed, the duration of suspension or the date of commencing or resuming the business, and the reason for suspending or resuming the business;

(b)a document stating the method for processing the accounts of consignors during the period of suspension (excluding cases of commencing and resuming the business).

(a)a document stating the date on which the petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings was filed and the reason for filing the petition;

(b)a copy of the document related to the filing of the petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings.

(a)a document stating the date on which the petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings was filed, the name or trade name of the entity filing the petition, and the reason for filing the petition;

(b)a copy of a document related to the filing of the petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings.

(a)a document stating the content of the change, the date of the change, and the reason for the change;

(b)a comparison table of the prior and amended provisions;

(c)minutes of the shareholders meeting (including equivalent organs) and other documents proving that necessary procedures have been taken.

(a)a document stating the trade name or name of an another corporation or other organizations and the date on which the voting rights came to be held;

(b)a document stating the number of voting rights held and the proportion of the number of the voting rights out of the voting rights of all shareholders, etc.;

(c)a document stating an outline of the business of an another corporation or other organizations holding the voting rights.

(a)a document stating the content of the change, the date of the change, and the reason for the change;

(b)a document stating the method for executing the commodity derivatives business after the change.

(a)a document stating the content of the change, the date of the change, and the reason for the change;

(b)a document stating the type of transaction or the commodities and commodity indices underlying the transactions after the change.

(a)a document stating the name or trade name of the commodity derivatives intermediary service provider;

(b)a document stating the location of the head office, etc. (meaning the head office, etc. prescribed in Article 32, paragraph (2) of the Order; the same applies hereinafter) of the commodity derivatives intermediary service provider;

(c)a copy of the written contract concerning consignment of business;

(a)a document stating the name or trade name of the commodity derivatives intermediary service provider;

(b)a document stating the date on which consignment of business has been terminated and the reason for the termination.

(a)the means of transmitting the information to be stated in a document (hereinafter referred to as "stated information" in this Article) via a telecommunication line connecting a computer used by the commodity derivatives business operator, etc. (meaning the commodity derivatives business operator or a person that stores files on a computer managed by them pursuant to a contract with the commodity derivatives business operator, and provides the files for use by the counterparty (hereinafter referred to as "customer" in this Article) to whom the information prescribed in Article 197-4, paragraph (4) or Article 217, paragraph (2) of the Act are to be provided or notified; hereinafter the same applies in this Article) with a computer used by the customer (meaning the customer or the person who stores customer files (meaning files exclusively used by the customer; hereinafter the same applies in this Article) on a computer managed by them pursuant to a contract with the customer; hereinafter the same applies in this Article) and recording the information in a customer file stored on the computer used by the customer, etc.;

(b)the means of providing the stated information recorded in a file stored on a computer used by the commodity derivatives business operator, etc. via a telecommunication line for inspection by the customer and recording the stated information in a customer file of the customer stored on a computer used by the customer;

(c)the means of providing the stated information recorded in a customer file stored on a computer used by the commodity derivatives business operator, etc. for inspection by the customer via a telecommunication line;

(d)the means of providing the stated information recorded in a file for inspection (meaning a file stored on a computer used by the commodity derivatives business operator, etc. to record the stated information for the purpose of making it available for inspection by multiple customers at the same time; hereinafter the same applies in this Article) for inspection by customers via a telecommunication line.

(a)for the means set forth in item (i), (c) of the preceding paragraph, the stated information recorded in a customer file;

(b)for the means set forth in item (i), (d) of the preceding paragraph, the stated information recorded in a file for inspection;

(a)necessary information for a customer to inspect the file for inspection must be recorded in the customer file;

(b)to maintain the state in which the customer file recording the necessary information for a customer to inspect the file for inspection pursuant to provisions of sub-item (a) and the file for inspection are connectable via a telecommunication line for the duration until the term prescribed in the preceding item elapses; provided, however, that this does not apply if the customer who has been given access to the file for inspection has notified that it is not necessary to maintain the connection.

(a)the fact that the provisions set forth in the items of Article 220-4, paragraph (1) of the Act are not applicable when the applicant for reinstatement becomes an entity prescribed in those items concerning the commodity transaction contract on or after the approval date (meaning the date on which the commodity derivatives business operator gives an approval under the provisions of Article 197-4, paragraph (11) of the Act; hereinafter the same applies in this Article) (excluding the cases prescribed in the proviso to Article 220-4, paragraph (1) of the Act);

(b)the fact that a person not suitable to be treated as an eligible consignor in terms of knowledge, experience, and financial circumstances to be treated as an eligible consignor concerning a commodity transaction contract has a risk of resulting in insufficient protection of the person;

(a)the means of transmitting via a telecommunication line connecting a computer used by a commodity derivatives business operator with a computer used by the counterparty (hereinafter referred to as "customer" in this Article) from whom consent is being sought pursuant the provisions of to Article 197-4, paragraph (12) or Article 209, paragraph (2) of the Act, and recording in a file stored on a computer used by the receiver;

(b)the means of providing information concerning the consent or approval of the customer recorded in a file stored on a computer used by a commodity derivatives business operator for inspection by the customer via a telecommunication line, and recording the information concerning the consent or approval by the customer in a file stored on a computer used by the commodity derivatives business operator;

(a)consent has been obtained from all of the silent partners regarding the fact that a request under the provisions of Article 197-6, paragraph (1) is to be made;

(b)the total amount of contribution based on the silent partnership agreement is at least 300 million yen;

(a)consent has been obtained from all of the other partners regarding the fact that a request under the provisions of Article 197-6, paragraph (1) is to be made;

(b)the total amount of contribution based on the partnership agreement is at least 300 million yen.

(a)consent has been obtained from all of the other partners regarding the fact that a request under the provisions of Article 197-6, paragraph (1) is to be made;

(b)the total amount of contribution based on the limited liability partnership agreement is at least 300 million yen.

(a)the amount obtained by deducting the total amount of liabilities from the total amount of assets of the applicant (meaning an applicant prescribed in Article 197-6, paragraph (2) of the Act; hereinafter the same applies in this Article and Article 90-14) on the approval date (meaning the approval date prescribed in Article 197-5, paragraph (2), item (i) of the Act as applied mutatis mutandis pursuant to Article 197-6, paragraph (6); the same applies in (b), the following Article, Article 90-13, paragraph (2), and Article 90-14 of the Act) is expected to be at least 300 million yen, judging reasonably from the status of transactions and other circumstances;

(b)the total amount of the applicant's assets (limited to those set forth as follows) on the approval date is expected to be at least 300 million yet, judging reasonably from the status of transactions and other circumstances:

1.rights related to transactions in commodity markets, rights related to transactions in foreign commodity markets, and rights related to over-the-counter commodity derivatives transactions;

2.securities prescribed in Article 2, paragraph (1) of the Financial Instruments and Exchange Act and rights deemed to be securities pursuant to the provisions of paragraph (2) of that Article (excluding those set forth in 6 and 7 (limited to those based on a contract concluded with a special business operator prescribed in Article 2, paragraph (9) of the Act on Specified Joint Real Estate Ventures (Act No. 77 of 1994)));

3.rights related to derivatives transactions prescribed in Article 2, paragraph (20) of the Financial Instruments and Exchange Act.

4.special savings, etc. prescribed in Article 11-5 of the Agricultural Cooperatives Act (Act No. 32 of 1947), special savings, etc. prescribed in Article 11-9 of the Fishery Cooperatives Act (Act No. 242 of 1948), special savings, etc. prescribed in Article 6-5-11 of the Act on Financial Business by Cooperatives (Act No. 183 of 1948), special savings, etc. prescribed in Article 89-2 of the Shinkin Bank Act (Act No. 238 of 1951), special deposits, etc. prescribed in Article 17-2 of the Long Term Credit Bank Act (Act No. 187 of 1952), special deposits, etc. prescribed in Article 94-2 of the Labor Bank Act (Act No. 227 of 1953), special deposits, etc. prescribed in Article 13-4 of the Banking Act (Act No. 59 of June 1, 1981), special deposits, etc. prescribed in Article 59-3 of The Norinchukin Bank Act (Act No. 93 of 2001), and special deposits, etc. prescribed in Article 29 of the Shoko Chukin Bank Limited Act (Act No. 74 of 2007);

5.rights related to specified mutual aid contracts prescribed in Article 11-27 of the Agricultural Cooperatives Act, specified mutual aid contracts prescribed in Article 12-3, paragraph (1) of the Consumers' Cooperatives Act (Act No. 200 of 1948), specified mutual aid contracts prescribed in Article 15-7 of the Fishery Cooperatives Act, specified mutual aid contracts prescribed in Article 9-7-5, paragraph (3) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of June 1, 1949), and insurance proceeds, mutual aid money, refunds, and other benefits based on a specified insurance contract prescribed in Article 300-2 of the Insurance Business Act;

6.trust beneficial interests related to a specified trust agreement prescribed in Article 24-2 of the Trust Business Act;

7.rights based on a specified joint real estate venture contract prescribed in Article 2, paragraph (3) of the Act on Specified Joint Real Estate Ventures;

(c)that 1 year has elapsed since the date on which the applicant first concluded a commodity transaction contract related to the request under the provisions of Article 197-6, paragraph (1) of the Act with the commodity derivatives business operator.

(a)the fact that the provisions set forth in the items of Article 220-4, paragraph (2) of the Act are not applicable in cases where the applicant for reinstatement becomes a person specified in those items with regard to the commodity transaction contract on or after the approval date (meaning the day on which the applicant for reinstatement gives approval under the provisions of Article 197-4, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 197-8, paragraph (2) of the Act; hereinafter the same applies in this Article) (excluding the cases prescribed in the proviso to Article 220-4, paragraph (2) of the Act;

(b)the fact that a person not suitable to be treated as an eligible commercial person in terms of knowledge, experience, and status of property to be treated as an eligible commercial person concerning a commodity transaction contract has a risk of resulting in insufficient protection of the person.

(a)address;

(b)whether the sales representative is an officer or an employee;

(c)with regard to a person who has experience of performing the duties of a sales representative (including a sales representative related to the registration under the provisions of Article 200, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 240-11 of the Act), the trade name or name of the commodity derivatives business operator or commodity derivatives intermediary service provider with which the person was affiliated and the duration of the performance of the duties;

(d)with regard to a person who has experience of engaging in commodity derivatives intermediary service, the duration of the performance of the services;

(e)when the suspension of the duties is ordered pursuant to the provisions of Article 204, paragraph (1) of the Act, the date of the disposition, reasons for the disposition, and duration of the disposition;

(f)when revocation of registration under the provisions of Article 204, paragraph (1) of the Act is made or deletion of registration under the provisions of Article 205 of the Act is made, the date of and reason for the disposition.

(a)a broker (meaning a broker prescribed in Article 103, paragraph (1), item (ii); the same applies in (b)) who has accepted brokerage of the consignment of a transaction in a commodity market from a person that entrusts brokerage who deposits consignor margins based on the provisions of Article 103, paragraph (2) of the Act: the consignor margins;

(b)a broker who has received a deposit of brokerage margins from a person that entrusts brokerage based on the provisions of Article 103, paragraph (3) of the Act and has deposited the consignor margins with members, etc. based on the provisions of paragraph (2) of that Article: the consignor margins (limited to within the scope of the amount of the brokerage margins deposited with the broker);

(c)a broker (meaning a broker prescribed in Article 179, paragraph (1), item (i), (b) of the Act; the same applies in (d)) who has accepted the brokerage of the consignment of transactions in a commodity market from a person that entrusts brokerage who deposits consignor margins based on the provisions of Article 179, paragraph (2) of the Act, or a clearing broker (meaning a clearing broker prescribed in paragraph (1), item (ii), (b) of that Article; the same applies in (e)) who has accepted the brokerage of the consignment of the brokerage of the consignment of commodity clearing transactions from a consignor that makes a request to the clearing broker who deposits consignor margins based on the provisions of paragraph (2) of that Article: the customer margins;

(d)a broker who has received a deposit of brokerage margins from a person that entrusts brokerage based on the provisions of Article 179, paragraph (3) of the Act and has deposited the consignor margins with members, etc. based on the provisions of paragraph (2) of that Article: the consignor margins (limited to within the scope of the amount of the brokerage margins deposited with the broker);

(e)a clearing broker who has accepted a deposit of clearing brokerage margins from a consignor that makes a request to the clearing broker based on the provisions of Article 179, paragraph (4) of the Act and has deposited the consignor margins with members, etc. based on the provisions of paragraph (2) of that Article: the consignor margins (limited to within the scope of the amount of the clearing brokerage margins deposited with the clearing broker);

(a)for the trust contract, a commodity derivatives business operator is the consignor, a trust company or a financial institution engaged in trust business is the trustee, and the person who entrusted the transactions, etc. in a commodity market to the commodity derivatives business operator (hereinafter referred to as the "transaction consignor" in this item) is the beneficiary of the principal;

(b)for the trust contract, a person who is appointed from among the officers and employees of the commodity derivatives business operator (if a commodity derivatives business operator concludes multiple trust contracts as measures for consignor assets preservation, the same person is to be assigned as the agent for a beneficiary of a trust related to these trust contracts) and a consignor protection fund (limited to a consignor protection fund which the commodity derivatives business operator joined as a member; hereinafter the same applies in this Article) are the agents for a beneficiary of a trust;

(c)if a commodity derivatives business operator becomes a commodity futures derivatives business operator subject to a notice (meaning a commodity derivatives business operator subject to a notice prescribed in the provisions of Article 304 of the Act; the same applies hereinafter) notwithstanding the provisions of (b), only the consignor protection fund is to be assigned as the agent for a beneficiary of a trust, unless otherwise specifically permitted by the consignor protection fund;

(d)the trust property is to be a money trust whose investment is limited to one of the following methods; provided, however, that this does not apply if it is a money trust with a contractual agreement for the compensation of principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943):

1.holding Japanese government bonds and other securities designated by the competent minister;

2.depositing money in a bank or other financial institutions designated by the competent minister; and

3.other methods specified by the competent minister;

(e)the appraised amount of the principal of the trust property is to be the amount of the principal of the trust;

(f)in the following cases, the cancellation of a trust contract or the cancellation of a part of a trust contract may not be carried out unless the consignor protection fund which is the agent for a beneficiary of a trust gives its approval in advance:

1.when the appraised value of the trust fund's principal exceeds the necessary amount for the trust (meaning the amount calculated by deducting the amount for other measures for consignor assets preservation from the amount of the property subject to preservation of the commodity derivatives business operator), in cases where there is an intention to cancel the trust contract or a part of the trust contract within the scope of the amount equivalent to the excess amount;

2.in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to change to another measure for consignor assets preservation;

3.in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to deposit funds as clearing margins for transactions in a commodity market on a transaction consignor's account with a commodity exchange or a commodity clearing organization;

4.in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to pay for a transaction loss or a delivery settlement to a commodity exchange or a commodity clearing organization related to transactions in a commodity market on a transaction consignor's account;

5.in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to pay the money, securities, or other property which were deposited by a transaction consignor or which belongs to a transaction consignor's account, to the transaction consignor;

6.in cases where there is an intention to cancel the trust contract or a part of the trust contract in order to collect commission fees or otherwise execute the rights of the commodity derivatives business operator related to the entrustment against a transaction consignor;

(g)the trust contract must not be changed unless the consignor protection fund which is the agent for a beneficiary of a trust gives its approval in advance;

(h)when a commodity derivatives business operator has come to fall under a commodity derivatives business operator subject to a notice, or when a consignor protection fund which is the agent for a beneficiary of a trust judges that it is necessary for the smooth repayment of the commodity derivatives business operator's debts related to the return of the consignor 's assets to a transaction consignor, the beneficiary rights to the principal related to the trust contract are to be executed by the consignor protection fund for all transaction consignors in a lump sum. In such a case, the termination of the trust contract by considering that its purpose has been accomplished is not precluded;

(i)beyond what is set forth in sub-items (a) through (h), the requirements specified by the operational rules of the consignor protection fund;

(a)the value of the securities among the properties deposited with a consignor protection fund (hereinafter referred to as the "deposited property" in this item) is based on the market value;

(b)cases in which the deposited property can be withdrawn are the following cases, excluding the case prescribed in (c):

1.when the appraised value of the deposited property exceeds the necessary amount for the deposit (the amount calculated by deducting the amount for the other measures for consignor assets preservation from the amount of the property subject to preservation of the commodity derivatives business operator), cases in which there is an intention to withdraw the deposited property within the scope of the amount equivalent to the excess amount;

2.in cases where there is an intention to withdraw the deposited property in order to change to another measure for consignor assets preservation;

3.in cases where there is an intention to withdraw the deposited property in order to deposit the property as clearing margins for transactions in a commodity market on a consignor's account with a commodity exchange or a commodity clearing organization;

4.in cases where there is an intention to withdraw the deposited property in order to pay for a transaction loss or a delivery settlement to a commodity exchange or a commodity clearing organization related to transactions in a commodity market on a consignor's account;

5.in cases where there is an intention to withdraw the deposited property in order to pay the money, securities, and other property which were deposited by a consignor or which belong to a consignor's account, to the consignor;

6.in cases where there is an intention to withdraw the deposited property in order to collect commission fees or otherwise execute the rights of the commodity derivatives business operator related to entrustment against a consignor;

(c)in cases where a commodity derivatives business operator has come to fall under a commodity derivatives business operator subject to a notice, or where the consignor protection fund judges that it is necessary for the smooth repayment of the commodity derivatives business operator's debts related to the return of a consignor's assets to a consignor (hereinafter referred to as an "debts to a consignor" in this Article and Article 139, paragraph (1), items (ii) through (v)), the deposited property can be allocated for repayment by the commodity derivatives business operator's debts to a consignor which is carried out by the consignor protection fund on behalf of the commodity derivatives business operator (hereinafter referred to as the "payment in subrogation" in this paragraph);

(d)in the cases referred to in (c), the commodity derivatives business operator can withdraw only the remaining amount of the deposited property after the consignor protection fund allocates the deposited property for the payment in subrogation;

(e)beyond what is set forth in sub-items (a) through (d), the requirements specified by the operational rules of the consignor protection fund;

(a)the contract is for entrustment to the following financial institutions:

1.a bank;

2.the Shoko Chukin Bank, Ltd.

3.a credit cooperative;

4.a Shinkin Bank;

5.The Norinchukin Bank;

6.an agricultural cooperative and a federation of agricultural cooperatives which can accept deposits or savings in the course of trade;

7.a trust company (limited to a person who is approved by the Prime Minister for conducting business on guarantee of obligations based on the provisions of Article 21, paragraph (2) of the Trust Business Act);

8.an insurance company;

(b)a guarantee entrustment contract must not be canceled or changed unless the consignor protection fund approves in advance;

(c)the limit of the amount to be paid to the consignor protection fund by a financial institution set forth in (a) based on the guarantee entrustment contract is specified in advance (hereinafter referred to as "payment guarantee limit amount" in this item);

(d)in cases where a commodity derivatives business operator has come to fall under a commodity derivatives business operator subject to a notice and where the consignor protection fund judges that it is necessary for the smooth repayment of the commodity derivatives business operator's debts to a consignor, the consignor protection fund can instruct a financial institution set forth in (a), which has concluded a guarantee entrustment contract to pay to the consignor protection fund the necessary amount for repayment of the debts to a consignor within the limit of the payment guarantee limit amount;

(e)beyond what is set forth in sub-items (a) through (d), the requirements specified by the operational rules of the consignor protection fund;

(a)a subrogation consignment agreement must not be canceled or changed unless the consignor protection fund approves in advance;

(b)the limit of the amount to be paid in subrogation for the debts to a consignor by a consignor protection fund on behalf of the commodity derivatives business operator is specified in advance (hereinafter referred to as the "subrogation limit amount" in this item);

(c)in cases where a commodity derivatives business operator has come to fall under a commodity derivatives business operator subject to a notice or where a consignor protection fund judges that it is necessary for the smooth repayment of the commodity derivatives business operator's debts to a consignor, the consignor protection fund is to pay the debts to a consignor on behalf of the commodity derivatives business operator within the limit of the subrogation limit amount; and

(d)beyond what is set forth in sub-items (a) through (c), the requirements specified by the operational rules of the consignor protection fund.

(a)if the commodity derivatives business operator is a financial institution that accepts deposits, savings, or installment savings, etc. prescribed in Article 2, paragraph (4) of the Banking Act (hereinafter referred to as "deposits, etc."), the deposits, etc. accepted from consignors, etc.;

(b)accounts receivable from a consignor (with regard to over-the-counter commodity derivatives transactions, limited to those that can be offset against money, securities, and other property deposited by the consignor and the money belonging to the consignor's account (excluding cash equivalent to profit related to over-the-counter commodity derivatives transactions on the consignor's account for which settlement has not been completed));

(c)loss related to over-the-counter commodity derivatives transactions on the account of the consignor, etc. for which the settlement has not been completed (limited to those that can be offset against money, securities, and other property deposited by the consignor, etc. and the money, securities, and other property belonging to the account of the consignor, etc. in relation to over-the-counter commodity derivatives transactions);

(d)when a commodity derivatives business operator conducts over-the-counter commodity derivatives transactions based on a master agreement with a consignor (meaning a master agreement prescribed in Article 2, paragraph (5) of the Act on Collective Clearing of Specified Financial Transactions Conducted by Financial Institutions (Act No. 108 of 1998); hereinafter the same applies in this sub-item (d)) with a provision for collective clearing (meaning collective clearing prescribed in paragraph (6) of that Article), when there is a valuation loss for the consignor given the appraised value (meaning appraised value prescribed in paragraph (6) of that Article) at the time when a cause of collective clearing (meaning a cause of collective clearing as defined in paragraph (4) of that Article; hereinafter the same applies in this sub-item (d)) occurs for a specified financial transaction (meaning a specified financial transaction as defined in paragraph (1) of that Article, and excluding the over-the-counter derivatives transaction) performed based on the master agreement in cases where a cause of collective clearing occurs for the consignor, the valuation loss (limited to cases in which it is found that there is no risk of resulting in insufficient protection of consignors, etc. when over-the-counter commodity derivatives transactions are settled based on the master agreement);

(e)securities that a commodity derivatives business operator may use under the terms of a contract.

(a)the trust contract is to have a commodity derivatives business operator as the consignor and the trust company or a financial institution engaging in trust business as the trustee, and the individual consignor, etc. related to the acts set forth in Article 2, paragraph (22), items (iii) through (v) of the Act (hereinafter referred to as "specified acts" in this item) as the beneficiary of the principal;

(b)for the trust contract, agents for the beneficiary are to be appointed, and at least one of the beneficiary's agents is an attorney-at-law, a legal professional corporation, a certified public accountant, an audit corporation, a tax accountant, a tax accountant corporation, or a person specified by the competent minister (hereinafter referred to as "attorney-at-law, etc." in this item);

(c)when multiple specified trusts are carried out (meaning trusts in which a commodity derivatives business operator has an individual consignor, etc. as the counterparty, or trusts related to specified acts performed on behalf of an individual consignor, etc.; hereinafter the same applies in this Article), the same beneficiary's agents are appointed for the multiple specified trusts;

(d)when a commodity derivatives business operator comes to fall under any of the following cases, only a beneficiary's agent who is an attorney-at-law, etc. exercises their authority (excluding cases in which the beneficiary's agent who is an attorney-at-law, etc. approves the exercise of authority by other beneficiary's agents):

1.permission under Article 90, paragraph (1) of the Act has been canceled pursuant to the provisions of Article 235, paragraph (3) or Article 236, paragraph (1) of the Act;

2.permission under Article 190, paragraph (1) of the Act ceases to be effective pursuant to the provisions of Article 190, paragraph (2) or Article 197, paragraph (2) of the Act;

3.when a petition is filed for the commencement of bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation (in cases of a foreign corporation, when a petition is filed for the commencement of bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation, or the same type of petition is filed in the country where the head office, etc. is located, pursuant to the laws and regulations of that country);

4.when the commodity derivatives business is discontinued (in cases of a foreign corporation, the discontinuation of commodity derivatives business at all business offices or offices in Japan; hereinafter the same applies in this 4) or dissolved (in cases of a foreign corporation, commencement of liquidation of business offices or offices in Japan; hereinafter the same applies in this 4), or when a public announcement of discontinuation or dissolution of commodity derivatives business under the provisions of Article 97, paragraph (3) of the Act is made;

5.when an order to suspend business pursuant to the provisions of Article 236, paragraph (1) of the Act is received (limited to cases that fall under item (vii) of that paragraph).

(e)the trust property is to be a money trust whose investment is limited to one of the following methods; provided, however, that this does not apply if it is a money trust with a contractual agreement for the compensation of principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions:

1.holding of the following securities:

i.Japanese national government bond securities;

ii.local government bond securities;

iii.securities issued by a public company, a public finance company, or a public organization, or other securities for which payment of the principal and interest is guaranteed by the government;

iv.Japan Federation Association Bonds under the provisions of Article 54-2-4, paragraph (1) of the Shinkin Bank Act, long-term credit bank bonds under the provisions of Article 8 of the Long Term Credit Bank Act, Norinchukin Bank Bonds under the provisions of Article 60 of the Norinchukin Bank Act, and Shoko Chukin Bank Bonds under the provisions of Article 33 of the Shoko Chukin Bank Limited Act (including those deemed to be Shoko Chukin Bank Bonds issued pursuant to the provisions of Article 33 of that Act pursuant to the provisions of Article 37 of the Supplemental Provisions of that Act;

v.specified corporate bonds under the provisions of Article 8, paragraph (1) of the Act on Financial Institutions' Merger and Conversion (Act No. 86 of 1968) (including as applied mutatis mutandis pursuant to Article 55, paragraph (4) of that Act) (including bond certificates under the provisions of Article 17-2, paragraph (1) of the Act on Financial Institutions' Merger and Conversion (including as applied mutatis mutandis pursuant to Article 24, paragraph (1), item (vii) of that Act) before amendment by the provisions of Article 199 of the Act on Arrangement of Relevant Acts Incidental to Enforcement of the Companies Act (Act No. 87 of 2005));

vi.beneficiary certificates based on the Loan Trust Act (Act No. 195 of 1952) for which there is a contractual agreement for the compensation of principal;

vii.secured bonds (limited to those with no reimbursement and interest extension);

viii.beneficiary certificates of investment trusts set forth in Article 65, item (ii), sub-items (a) through (c) of the Cabinet Office Order on Financial Instruments Business (Cabinet Office Order No. 52 of 2007) (limited to within the scope equivalent to one-third of the specified trust required amount (meaning the sum of individual specified trust required amounts (meaning an amount calculated for the amount of property set forth in Article 240, item (ii) of the Act for each individual consignor, etc.; hereinafter the same applies in this Article); hereinafter the same applies in this Article);

2.deposits or savings deposits in the following financial institutions (when a commodity derivatives business operator is the financial institution, excluding deposits or savings deposits in their own institution):

i.a bank

ii.Shinkin Bank and federation of Shinkin Banks, and labor banks and The Rokinren Bank;

iii.The Norinchukin Bank and the Shoko Chukin Bank, Ltd.;

iv.credit cooperatives and federation of credit cooperatives, and agricultural cooperatives, fishery cooperatives, federation of fishery cooperatives, fishery processing cooperatives, and federation of fishery processing cooperatives that can accept deposits and savings in the course of trade;

3.call loans;

4.due from bank account at a financial institution engaged in the trust business that is the trustee;

5.money trust created with a financial institution engaged in the trust business for which there is a contractual agreement for the compensation of principal.

(f)if the appraised value of the principal of trust property falls short of the specified trust required amount, money equivalent to the amount of deficiency is to be added to the trust property by the commodity derivatives business operator within 2 business days from the day following the day on which the deficiency occurred;

(g)the commodity derivatives business operator calculates the appraised value of securities that are trust peoperties at the market value (excluding cases in which the specified trust is a money trust with a contractual agreement for the compensation of principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions);

(h)if a specified trust is a money trust with a contractual agreement for the compensation of principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions, the appraised value of the principal of the trust property is to be the amount of the principal of the money trust;

(i)cancellation of the whole trust contract or a part of the trust contract may not be made in cases other than the following cases:

1.when the appraised value of the principal of trust property exceeds the specified trust required amount, seeking to cancel or partially cancel the trust contract within the scope of an amount equivalent to the excess amount; or

2.seeking to cancel or partially cancel the trust contract for the purpose of entrusting the property as trust property related to another specified trust;

(j)trust property related to cancellation or partial cancellation of a trust contract performed in the cases set forth in (i) 1 or 2 is to belong to the consignor;

(k)when a commodity derivatives business operator comes to fall under any of the cases set forth in (d) 1 through 5, the commodity derivatives business operator may not give instructions on the investment of the trust property to the trustee unless otherwise specifically permitted by a beneficiary's agent who is an attorney-at-law, etc.;

(l)if a beneficiary's agent who is an attorney-at-law, etc. determines it to be necessary, the beneficial rights of an individual consignor, etc. are exercised collectively for all individual consignors by the beneficiary's agent who is an attorney-at- law, etc.;

(m)if the beneficial rights of individual consignors are exercised collectively by a beneficiary's agent who is an attorney-at-law, etc., the trust contract related to the beneficial rights may be terminated;

(n)the amount to be paid to each individual consignors in cases where the individual consignor, etc. exercise beneficial rights is an amount obtained by multiplying the proportion of individual specified trust required amount related to the individual out of the specified trust required amount on the date of exercise of the beneficial rights (if the amount exceeds the individual specified trust required amount, the individual specified trust required amount) by the principal conversion amount on the date (meaning an amount obtained by converting the trust property pertaining to the specified trust (limited to the portion of the principal) (the principal amount, in cases where the specified trust is a money trust with a contractual agreement for the compensation of principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions); the same applies in (o));

(o)if the principal conversion amount on the date on which beneficial rights are exercised by an individual consignor, etc. exceeds the specified trust required amount, the excess amount is to belong to the consignor;

(a)deposits or savings in banks, cooperative organization financial institutions or the Shoko Chukin Bank, Ltd. (limited to those that are clearly identifiable as property set forth in Article 210, item (ii) of the Act by the account name);

(b)conclusion of a trust contract (limited to those that satisfy the following requirements):

1.that the trust is a money trust with a contractual agreement for the compensation of principal pursuant to the provisions of Article 6 of the Act on Engagement in Trust Business by Financial Institutions, or is a money trust created with a trust company or a financial institution engaged in the trust business and the trust property will be safely managed;

2.that the property is clearly identifiable as property set forth in Article 210, item (ii) of the Act by the account name.

(c)deposit with a counterparty, etc. to a cover deal (in cases where transactions in a commodity market or a foreign commodity market in which commodities or commodity indexes that are the subject of over-the-counter commodity derivatives transactions conducted by the consignor, purchase and sale related to the over-the-counter commodity derivatives transactions and other equivalent matters are the same, or over-the-counter commodity derivatives transactions with another commodity derivatives business operator or another person (hereinafter referred to as "other commodity derivatives business operator, etc." in this sub-item (c) and sub-item (d)) as the counterparty (hereinafter referred to as "cover deal" in this sub-item (c)) are performed for the purpose of reducing losses that may occur from the over-the-counter commodity derivatives transaction that the commodity derivatives business operator conducts with a consigner, etc. as the counterparty, meaning a commodity exchange, a commodity clearing organization, a foreign commodity market maker, or a corporation based on the law of a foreign country and engaged in the same type of business as the business of assuming commodity transaction debts in a foreign country (hereinafter referred to as "foreign commodity clearing organization" in this sub-item (c)) or another commodity derivatives business operator related to the cover deal) (in cases where the commodity derivatives business operator conducts the cover deal, limited to cases in which cash, securities, and other property related to the cover deal are deposited with the commodity exchange, commodity clearing organization, foreign commodity market establisher, foreign commodity market clearing organization, or other commodity derivatives business operator);

(d)deposit with an intermediary, etc. counterparty (meaning another commodity derivatives business operator, etc. that is a counterparty of an intermediary, broker, or agent when a commodity derivatives business operator conducts intermediation, brokerage, or action as an agent for over-the-counter commodity derivatives transactions on behalf of a consignor) (when the commodity derivatives business operator conducts intermediation, brokerage, or action as an agent for over-the-counter commodity derivatives transactions with the other commodity derivatives business operator, etc. as an intermediary, etc. counterparty, limited to the case of depositing money, securities, and other property related to the over-the-counter commodity derivatives transactions with the other commodity derivatives business operator).

(a)if a document proving the right required when exercising the right and other documents exist: the method of managing the securities, etc. by deeming the documents to be securities etc. and in accordance with the category of securities, etc. set forth in each of the preceding items;

(b)in cases other than the case set forth in (a): the method of having a third party clearly manage the rights as consignor, etc. securities, and in a condition that the state of the management is immediately identifiable by the commodity derivatives business operator's books.

(a)the name or commonly used name of the commodity transaction contract;

(b)the trade name, name or commonly used name of a commodity derivatives business operator that provides information with the same content to a large number of persons by the means prescribed in this item;

(c)if there is a risk of the customer incurring a loss with regard to a transaction based on a commodity transaction contract due to a fluctuation in the quotations, etc. on the commodity market, the fact that the risk exists (including the fact that the risk that the amount of the loss may exceed the amount of the clearing margin, etc. (meaning the clearing margin prescribed in Article 217, paragraph (1), item (i) of the Act; the same applies hereinafter), and limited to articles on which the letters or numbers used for indicating this information are of a size that is not substantially different from the largest letters or numbers used for indicating other information);

(d)the fact that the content of the document prescribed in Article 217, paragraph (1) of the Act (referred to hereinafter as "document for delivery prior to conclusion of a contract") should be thoroughly read;

(a)the trade name or name of the commodity derivatives business operator;

(b)the fact that the business operator is a commodity derivatives business operator;

(c)if there is a risk of the customer incurring a loss with regard to a transaction based on a commodity transaction contract due to a fluctuation in the quotations, etc. on the commodity market, the fact that the risk exists (including the fact that the risk that the amount of the loss may exceed the amount of the clearing margin, etc., and limited to articles on which the letters or numbers used for indicating this information are of a size that is not substantially different from the largest letters or numbers used for indicating other information, excluding the means of broadcasing the information by phonetic sound );

(d)the fact that the content of the document for delivery prior to conclusion of a contract should be thoroughly read.

(a)for transactions set forth in Article 2, paragraph (14), item (ii) or (iii) of the Act: when the actual price (meaning the actual price as defined in paragraph (3), item (ii) of that Article; the same applies hereinafter) or the actual figure (meaning the actual figure as defined in paragraph (3), item (iii) of that Article; the same applies hereinafter) exceeds the contract price, etc., the contract price, etc. of the transaction for which the person in question will be the party to pay the money and the contract price, etc. of the transaction for which the person in question will be the party to receive the money, or those similar to them;

(b)for transactions set forth in Article 2, paragraph (14), item (iv) or (v) of the Act: the amount of consideration for the rights of transaction for which the person in question will be the party to grant the rights prescribed in item (iv) or (v) of that paragraph, and the value of the consideration for the rights of transaction for which the person in question will be the party to obtain the rights;

(c)for transactions set forth in Article 2, paragraph (14), item (vi) of the Act: the price of the commodity or commodity index and the price of the commodity at the start of the contracted term in the transaction for which the person in question will be the party to pay money when the price of the commodity or the commodity index has risen during the contracted term, and the price of the commodity or commodity index at the start of the contracted term in the transaction for which the person in question will be the party to receive money when the price of the commodity or the commodity index has risen during the contracted term, or those similar to them; and

(a)when the commodity derivatives business operator holds shares or contributions related to 50 percent or more of the voting rights (meaning voting rights prescribed in Article 9, paragraph (1), item (iii) of the Order; hereinafter the same applies in this Article (except for (b))) for all shareholders, all company members, all members, all partners, or all investors of a foreign corporation or other foreign organization, under its own name or that of another person, the foreign corporation or the other foreign organization (hereinafter referred to as a "foreign subsidiary company" in this Article);

(b)when the commodity derivatives business operator has shares related to 50 percent or more of the voting rights (meaning voting rights prescribed in the main clause of Article 86, paragraph (1) of the Act; hereinafter the same applies in this (b)) of all of its shareholders held by a foreign corporation or other foreign organization under its own name or that of another person, the foreign corporation or the other foreign organization (hereinafter referred to as the "foreign parent company" in this Article);

(c)when the foreign parent company of the commodity derivatives business operator holds shares or contributions related to 50 percent or more of the voting rights of all shareholders of another foreign corporation or another foreign organization under its own name or that of another person, the other foreign corporation or the other foreign organization;

(d)when the corporation or other organization prescribed in (c) holds shares or contributions related to 50 percent or more of the voting rights of all shareholders of another foreign corporation or another foreign organization under its own name or that of another person, the other foreign corporation or the other foreign organization;

(a)a commodity transaction contract prescribed in Article 30 of the Order;

(b)a financial instruments transaction contract prescribed in Article 16-4, paragraph (1) of the Order for Enforcement of the Financial Instruments and Exchange Act;

(c)a contract to conduct intermediation, brokerage or action as an agent for the purchase and sale of securities prescribed in Article 2, paragraph (8), item (ii) of the Financial Instruments and Exchange Act on behalf of a customer (limited to the purchase and sale that a financial instruments business operator conducts by granting credit to a customer prescribed in Article 2, paragraph (9) of that Act);

(d)a contract to conduct market derivatives transactions prescribed in Article 2, paragraph (21) of the Financial Instruments and Exchange Act or perform intermediation, brokerage (excluding brokerage for clearing of securities, etc. prescribed in paragraph (27) of that Article), or action as an agent for their consignment on behalf of a customer;

(a)when confirming with a customer in advance of solicitation whether the customer has an intention to receive the solicitation, the commodity derivatives business operator must provide the customer with an explanation to the effect that only a contractant of another company can conclude the commodity transaction contract, and preserve the document proving that the customer received the explanation for ten years from the day of providing the explanation;

(b)before concluding the commodity transaction contract, the commodity derivatives business operator must confirm that the customer is a contractant of another company with a document in which the customer has declared that fact (hereinafter referred to as a "written declaration" in this item) and preserve the written declaration for ten years from the day of confirming that fact;

(c)if the commodity derivatives business operator concludes the commodity transaction contract and conducts a transaction in violation of the provisions of (a) or (b), or knowing that the statement in the written declaration is a misstatement, the commodity transaction contract is to provide that the transaction is deemed to have been conducted by the commodity derivatives business operator on its own account;

(a)when confirming with a customer in advance of solicitation whether the customer has an intention to receive the solicitation, the commodity derivatives business operator must provide the customer with an explanation to the effect that only a customer satisfying all of the following conditions may conclude the commodity transaction contract, and preserve the document proving that the customer received the explanation for ten years from the day of providing the explanation:

1.the customer is younger than 65 years old;

2.the customer is not a person specified by the competent minister as a person living mainly on pension;

3.the customer falls under any of the following conditions:

i.the customer has an annual income of eight million yen or more or financial assets (limited to cash, deposits or savings, and assets prescribed in Article 90-11, item (iv), (b) (excluding those set forth in (b), 4 of that item)) totaling 20 million yen or more (referred to as the "amount of owned financial assets" in (b), 2 and (c), 2) and is a person who can be confirmed as having an appropriate understanding of the matters set forth in Article 217, paragraph (1), items (i) through (iii) of the Act;

ii.the customer is any of the following persons (referred to as a "person with qualification" in (b), 3):

a. an attorney-at-law;

b. a judicial scrivener;

c. a certified public accountant,

d. a certified public tax accountant;

e. a person who has passed the trade skills test prescribed in Article 46, paragraph (2) of the Vocational Abilities Development Promotion Act (Act No. 64 of 1969) (limited to the case in which the classification of occupation for the trade skills tests prescribed in Article 44, paragraph (1) of that Act is financial planning);

f. a sales representative prescribed in Article 64 of the Financial Instruments and Exchange Act (limited to Type 1 Sales Representatives and Special Member Type 1 Sales Representative registered with the Japan Securities Dealers Association which is an authorized financial instruments firms association prescribed in Article 2, paragraph (13) of that Act, and the sales representatives registered with The Financial Futures Association of Japan);

g. a securities analyst certified by the Securities Analysts Association of Japan;

(b)by the time of concluding the commodity transaction contract, the commodity derivatives business operator must confirm that the customer satisfies the conditions set forth in (a), 1 through 3 using the following document, and preserve the document for ten years from the day of confirming that fact:

1.for the condition set forth in (a), 1, an identification card or other document proving the age or the date of birth of the customer;

2.for the condition set forth in (a), 2, a document in which the customer declared their annual income and the breakdown of the amount of owned financial assets (referred to as a "written declaration of annual income and financial assets" in 3);

3.for the condition set forth in (a), 3, a written declaration of annual income and financial assets, a document demonstrating that the customer has appropriate understanding through a test in writing or using an electronic data processing system (limited to an electronic data processing system connecting a computer used by the commodity derivatives business operator and a computer used by the customer (including input-output devices) via a telecommunications line; the same applies in Article 111) (including information recorded in a file on a computer), or a qualification certificate or other document proving that the customer is a person with qualification;

(c)the commodity transaction contract is to provide for all of the following matters:

1.that fact that the commodity derivatives business operator may not solicit the conclusion of a commodity transaction contract and receive instructions from the customer concerning the matters set forth in the items of Article 101, with regard to transactions related to the commodity transaction contract, within 14 days from the day of concluding the commodity transaction contract;

2.that fact that the commodity derivatives business operator must set the amount of up to one-third of the sum of the customer's annual income and the amount of owned financial assets (hereinafter referred to as the "maximum amount of investment") by the day of starting trading from day the commodity transaction contract was concluded, and may not receive clearing margins, etc. exceeding the maximum amount of investment and must complete the settlement when the amount of clearing margins, etc. reaches the maximum amount of investment during the period within one year from the day of concluding the commodity transaction contract;

3.if the commodity derivatives business operator falls under any of the following cases, the transaction is deemed to have been conducted by the commodity derivatives business operator on its own account:

i.when the commodity derivatives business operator concludes the commodity transaction contract and conducts a transaction in violation of the provisions of (a), (b), or (c), 1 or 2, or while knowing that the statement in the documents set forth in (b), 1 through 3 is a misstatement;

ii.when the commodity derivatives business operator conducts a transaction by receiving instructions from the customer in violation of the provisions of (c), 1.;

iii.when the commodity derivatives business operator receives clearing margins, etc. exceeding the maximum amount of investment or conducts a transaction without completing the settlement, in violation of the provisions of (c), 2.

(a)the fact that the business operator is conducting a specified transaction;

(b)if a transaction related to the consignment and a transaction on the commodity derivatives business operator's own account are matched as a result of a specified transaction, the fact that a conflict of interest may arise between the customer and the business operator.

(a)when seeking to conclude a contract related to specified over-the-counter commodity option transactions, presenting the exercise price for the specified over-the-counter commodity option transactions (for a price to be determined by a specified method, its calculation method; hereinafter the same applies in this item) to an individual customer in advance;

(b)specifying necessary and appropriate transaction period and due date of specified over-the-counter commodity option transactions in order to enable an individual customer to acquire and grant rights related to specified over-the-counter commodity option transactions or to conduct other transactions, based on the amount of the value that is calculated by a fair means based on the exercise period, exercise price, quotations on commodity markets, or other actual conditions of indicators and also based on the investment decisions made based on analysis of value, etc. of commodities, through the transaction period;

(a)an attorney-at-law or a judicial scrivener (limited to cases of carrying out the affairs set forth in Article 3, paragraph (1), item (vii) of the Judicial Scriveners Act (Act No. 197 of 1950); the same applies in Article 126-20, paragraph (1), item (viii), (a) and Article 169, paragraph (1), item (vii), (a)) has acted as the customer's counsel concerning the settlement procedures;

(b)the amount to be paid to the customer by the commodity derivatives business operators due to the settlement being reached does not exceed ten million yen (or, the amount prescribed in Article 3, paragraph (1), item (vii) of the Judicial Scriveners Act if the judicial scrivener set forth in (a) represents the customer; the same applies in Article 126-20, paragraph (1), item (viii), (b) and Article 169, paragraph (1), item (vii), (b));

(c)a document proving that the attorney-at-law or judicial scrivener referred to in (a) has investigated and confirmed that the payment referred to in (b) is to be made in order to compensate for all or part of the loss due to a problematic conduct (meaning a problematic conduct prescribed in the main clause of Article 221, paragraph (2) of the Act; hereinafter the same applies in this Article through Article 103-5) has been delivered to the commodity derivatives business operator;

(a)the name of the representative, etc. or the department that was involved in the act that that falls under a problematic conduct;

(b)the name and address of the customer (or, in cases of a corporation, the trade name or name, the location of the head office or principal office, and the name of the representative);

(c)the outline of the problematic conduct;

(d)the reason that the loss incurred by the customer related to the compensation has been caused by the problematic conduct;

(e)the amount of property benefits for which an offer or promise will be made or that will be provided; and

(a)the relevant person;

(b)the fact that there is a risk that the customer may incur a loss due to changes in the status of the business or property of the relevant person, and its reason.

(a)the relevant person;

(b)the fact that there is a risk that the amount of loss due to changes in the status of the business or property of the relevant person may exceed the amount of the clearing margin, etc., and its reason;

(a)in the cases of the transactions set forth in Article 2, paragraph (14), item (ii) or (iii) of the Act: the contract price, etc. for a transaction for which the person in question will be the party to pay money, and the contract price, etc. for a transaction for which the person in question will be the party to receive the maoney, or items similar to them, when the actual price exceeds the contract price, etc.;

(b)in the cases of the transactions set forth in Article 2, paragraph (14), item (iv) or (v) of the Act: the amount of consideration for rights of the transaction for which the person in question will to be the party to grant the rights prescribed in item (iv) or (v) of that paragraph, and the amount of consideration for the rights of the transaction for which the person in question will be the party to obtain the rights;

(c)in the cases of the transactions set forth in Article 2, paragraph (14), item (vi) of the Act: the price of the commodity or the commodity index at the start of the agreed period for the transaction for which the person in question will be the party to pay money when the price of the commodity or the commodity index increases in the agreed period, and the price of the commodity or commodity index at the start of the agreed period for the transaction for which the person in question will be the party to receive money when the price of the commodity or the commodity index increases in the agreed period, or similar items;

(a)the transactions set forth in Article 2, paragraph (3), items (ii) and (iii) of the Act (including foreign commodity market transactions similar to them), and the transactions set forth in paragraph (14), items (ii) and (iii) of that Article: the transactions for which the person in question will be the party to pay money or for which they will be the party to receive money if the actual price or the actual figure exceeds the contract price, etc.;

(b)the transactions set forth in Article 2, paragraph (3), item (iv) of the Act (including foreign commodity market transactions similar to them), and the transactions set forth in paragraph (14), items (iv) and (v) of that Article: the transactions for which the person in question will be the party to grant the rights prescribed in these items, or for which the person in question will be the party to obtain the rights;

(c)the transactions set forth in Article 2, paragraph (3), items (v) and (vi) of the Act (including foreign commodity market transactions similar to them), and the transactions set forth in paragraph (14), item (vi) of that Article: the transactions for which the person in question will be the party to pay money or for which they will be the party to receive money if the commodity price or the commodity index increases in the agreed period ;

(a)the method of transmitting the information via a telecommunications line that connects a computer used by a commodity derivatives business operator and a computer used by the consignor, etc., and recording the information in a file on a computer used by the receiver;

(b)the method of providing information related to the approval of the consignor, etc. recorded in a file on a computer used by a commodity derivatives business operator for inspection by the consignor, etc. via a telecommunication line and recording the information related to the approval of the consignor, etc. in a file on a computer used by the commodity derivatives business operator.

(a)the amount obtained by multiplying the transaction amounts of the transactions prescribed in Article 2, paragraph (3), item (i) of the Act in each business year (excluding transactions on a person's own account and the transaction set forth in (e)) by the problematic conduct rate (meaning the ratio of the sum of the amount of the payment made as a result of a problematic conduct that occurred in the business years starting within three years prior to the commencement of the relevant business year (excluding payments related to transactions in cases where a commodity derivatives business operator receives a consignment of transactions, etc. in the commodity market (excluding commodity clearing transactions; hereinafter the same applies in this Article) from an eligible consignor or eligible commercial person or receives a consignment of transactions, etc. in the commodity market using an electronic data processing system without carrying out solicitation) to the sum of the transaction amounts of the transactions prescribed in Article 2, paragraph (3), items (i) through (iii) of the Act and the amount of the consideration for the transactions prescribed in item (iv) of that paragraph (excluding the transaction amounts and the amount of the consideration for transactions in cases of transactions on a person's own account and in cases where a commodity derivatives business operator receives a consignment of transactions, etc. in the commodity market from an eligible consignor or eligible commercial person or receives a consignment of transactions, etc. in the commodity market by using an electronic data processing system without carrying out solicitation; hereinafter the same applies in this Article) and the amount equivalent to 0.0001 percent of the transaction amounts, whichever amount is larger (in cases where the amount of liability reserve for commodity trading that has already been accumulated (in cases where there is an amount of money that has been used pursuant to the provisions of Article 221, paragraph (2) of the Act, the amount after deducting that amount; the same applies in the following item) is less than ten million yen, the amount obtained by adding, to the larger amount, an amount obtained by multiplying, an amount calculated by dividing the amount that has been obtained by deducting the amount of liability reserve for commodity trading and the amounts set forth in sub-items (b) through (h) from ten million yen by multiplying the problematic conduct rate by 2, or by 0.0002 percent, whichever rate is higher (or, if the calculated amount exceeds the transaction amount in the relevant business year, the amount is the transaction amount in the relevant business year; hereinafter the same applies in this item) by the problematic conduct rate or an amount equivalent to 0.0001 percent of the calculated amount, whichever amount is greater);

(b)the amount obtained by multiplying the transaction amount of the transactions prescribed in Article 2, paragraph (3), item (ii) of the Act (excluding transactions on a person's own account and the transactions set forth in (f)) in each business year by the problematic conduct rate, or the amount equivalent to 0.0001 percent of the transaction amount, whichever is greater;

(c)the amount obtained by multiplying the transaction amount of transactions prescribed in Article 2, paragraph (3), item (iii) of the Act (excluding transactions on a person's own account and the transactions set forth in (g)) in each business year by the problematic conduct rate, or the amount equivalent to 0.0001 percent of the transaction amount, whichever is greater;

(d)the amount obtained by multiplying the sum of the amount of consideration for transactions prescribed in Article 2, paragraph (3), item (iv) of the Act (excluding transactions on a person's own account and the transactions set forth in (h)) in each business year by the problematic conduct rate, or the amount equivalent to 0.001 percent of the sum of the amount of consideration, whichever is greater;

(e)the amount equivalent to 0.0001 percent of the sum of the transaction amount of transactions in which a commodities derivatives business operator receives a consignment of transactions, etc. in the commodity market from an eligible consignor and eligible commercial person, or receives a consignment of transactions, etc. in the commodity market using an electronic data processing system without carrying out solicitation, among the transactions prescribed in Article 2, paragraph (3), item (i) of the Act conducted each business year,;

(f)the amount equivalent to 0.0001 percent of the sum of the transaction amounts of the transactions in which a commodity derivatives business operator receives a consignment of transactions, etc. in the commodity market from an eligible consignor and eligible commercial person or receives a consignment of transactions, etc. in the commodity market using an electronic data processing system without carrying out solicitation, among the transactions prescribed in Article 2, paragraph (3), item (ii) of the Act conducted each business year;

(g)the amount equivalent to 0.0001 percent of the sum of the transaction amounts of the transactions in which a commodity derivatives business operator receives a consignment of transactions, etc. in the commodity market from an eligible consignor and eligible commercial person, or receives a consignment of transactions, etc. in the commodity market using an electronic data processing system without carrying out solicitation, among the transactions prescribed in Article 2, paragraph (3), item (iii) of the Act conducted each business year; and

(h)the amount equivalent to 0.001 percent of the total sum of the transaction amounts of the transactions in which a commodity derivatives business operator receives a consignment of transactions, etc. in the commodity market from an eligible consignor and eligible commercial person or receives a consignment of transactions, etc. in the commodity market using an electronic data processing system without carrying out solicitation, among the transactions prescribed in Article 2, paragraph (3), item (iv) of the Act conducted each business year;

(a)the amount equivalent to 0.00625 percent of the transaction amounts of the transactions prescribed in Article 2, paragraph (3), item (i) of the Act (excluding transactions on a person's own account and the transactions set forth in (e)) in the business year in which the transaction amounts were the largest from among each business year and each business year starting within two years prior to the commencement of the relevant business year (if any of these business years is less than one full year, an amount calculated by dividing the transaction amount in the business year by the number of months in the business year and multiplying the result by twelve; the same applies hereinafter);

(b)the amount equivalent to 0.00625 percent of the transaction amounts of the transactions prescribed in Article 2, paragraph (3), item (ii) of the Act (excluding transactions on a person's own account and the transactions set forth in (f)) in the business year in which the transaction amounts were the largest from among each business year and each business year starting within two years prior to the commencement of the relevant business year;