Financial Instruments and Exchange Act

If any of the following items apply, the person who committed the violation is subject to a fine of not more than 300,000 yen:

when the person fails to make a notification under Article 31, paragraph (1), (3) or (7); Article 32-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 32-4 or Article 57-26, paragraph (1)) or Article 32-3, paragraph (2); Article 33-6, paragraph (1) or (3); Article 35, paragraph (3) or (6); Article 50, paragraph (1); Article 57-2, paragraph (4) or (6); Article 57-14; Article 57-18, paragraph (1); Article 60-5 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)); Article 63, paragraph (8) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)); Article 63-2, paragraph (2); Article 63-2, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-3, paragraph (2)) or Article 63-2, paragraph (4); Article 63-9, paragraph (7) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)); Article 63-10, paragraph (2), Article 63-10, paragraph (3) (including as applied mutatis mutandis pursuant to Article 63-11, paragraph (2)), or Article 63-10, paragraph (4); Article 64-4 (including as applied mutatis mutandis pursuant to Article 66-25); Article 66-5, paragraph (1) or (3); Article 66-19, paragraph (1); Article 66-31, paragraph (1) or (3); Article 66-54, paragraph (1) or (3); Article 66-60; Article 66-75, paragraph (1) or (3); Article 79-27, paragraph (4); Article 106-3, paragraph (5) (including as applied mutatis mutandis pursuant to Article 106-10, paragraph (4) or Article 106-17, paragraph (4)); Article 156-5-5, paragraph (5); Article 156-55, paragraph (1); Article 156-56; Article 156-60, paragraph (2); Article 156-82, paragraph (2); Article 156-86, paragraph (4); or Article 156-88, or makes a false notification;

when the person violates the provisions of Article 31-3; Article 43-4, paragraph (1) or (2); Article 66-6; or Article 194;

when the person violates the provisions of Article 36-2, paragraph (1) or (2) or Article 66-8, paragraph (1) or (2);

when the person, in violation of the provisions of Article 36-2, paragraph (3) or Article 66-8, paragraph (3), posts a sign under the provisions of Article 36-2, paragraph (1) or Article 66-8, paragraph (1), or a sign that is similar to the sign;

when the person violates an order under Article 46-3, paragraph (3) (including as applied mutatis mutandis pursuant to Article 60-6 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2))), Article 48-2, paragraph (3), Article 57-3, paragraph (3), or Article 57-15, paragraph (3);

when the person, in violation of Article 955, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 50-2, paragraph (10) and Article 66-40, paragraph (6), fails to enter or record the particulars specified by Ministry of Justice Order with regard to the electronic public notice investigation prescribed in that paragraph in the investigation record book, etc. (meaning the investigation record book, etc. prescribed in Article 955, paragraph (1) of the Companies Act; hereinafter the same applies in this item), or enters or records a false statement or record, or, in violation of that paragraph, fails to preserve an investigation record book, etc.;

when the person fails to submit a document under the provisions of Article 57-2, paragraph (5), or submits a false document;

when the person violates the provisions of the second sentence of Article 79-3, paragraph (1);

when the person fails to make a report under the provisions of Article 79-16 or Article 156-45, paragraph (1), or makes a false report;

when the person enters a false statement in a written application or an attached document under the provisions of Article 79-30 and submits it;

when the person fails to make a report or submit materials under the provisions of Article 79-52, paragraph (2), or makes a false report or submits false materials;

when the person, in violation of Article 79-53, paragraph (1), Article 156-60, paragraph (3), Article 156-61, paragraph (3), or Article 156-82, paragraph (2), fails to give a notice or gives a false notice.

A person that falls under any of the following items is subject to punishment by a fine of not more than 300 thousand yen:

an officer (including a provisional board member and a provisional inspector) or employee of an investor protection fund, or a person entrusted by an investor protection fund pursuant to the provisions of Article 79-50, paragraph (1) (if the person is a corporation, its representative, agent, employee, or any other worker), who fails to make a report or submit materials under the provisions of Article 79-77, or makes a false report or submits false materials;

an officer (including a provisional board member and a provisional inspector) or employee of an investor protection fund, or a person entrusted by an investor protection fund pursuant to the provisions of Article 79-50, paragraph (1) (if the person is a corporation, its representative, agent, employee, or any other worker), who refuses or evades an inspection under the provisions of Article 79-77, or a person who hinders that inspection.

A person that falls under any of the following items is subject to punishment by a fine of not more than 200 thousand yen:

a person that, in violation of a disposition under the provisions of Article 177, paragraph (1), item (i) rendered to a person concerned with a case or a witness, fails to appear or to give a statement, gives a false statement, fails to give a report, or gives a false report;

a person that fails to submit articles, in violation of the disposition under the provisions of Article 177, paragraph (1), item (ii) rendered to persons concerned with a case;

a person that, in violation of a disposition under Article 185, paragraph (1) rendered to a witness, fails to appear, fails to give a statement, or gives a false statement;

a person that, in violation of a disposition under the provisions of Article 185-3, paragraph (2) rendered to a possessor of an article, fails to submit the article; or

a person that, in violation of a disposition under the provisions of Article 185-4, paragraph (1) rendered to an expert, fails to present an expert opinion, or presents a false expert opinion.

If any of the following items apply, the person who committed the violation is subject to a fine of not more than 300,000 yen:

the person violates the provisions of Article 64-7, paragraph (4) (including as applied mutatis mutandis pursuant to Article 66-25); Article 67-8, paragraph (2); Article 67-12; Article 87-2, paragraph (1); Article 87-3, paragraph (1); Article 105, paragraph (1); Article 106-24, paragraph (1); Article 149, paragraph (1) (including as applied mutatis mutandis pursuant to Article 153-4); or Article 156-12-3, paragraph (1);

the person fails to give a notification under the first sentence of Article 67-8, paragraph (3), Article 67-13, Article 121, Article 126, paragraph (1), the first sentence of Article 149, paragraph (2) (including as applied mutatis mutandis pursuant to Article 153-4); Article 153-3, or Article 155-7, or gives a false notification;

the person violates an order under the provisions of Article 67-14 or Article 125;

the person violates an order under the provisions of Article 67-15, paragraph (1), Article 67-17, paragraph (1), Article 127, paragraph (1), or Article 129, paragraph (1);

the person violates the provisions of Article 122, paragraph (1) (including as applied mutatis mutandis pursuant to Article 123, paragraph (1) or (2)) or Article 124, paragraph (1) or (3) in listing securities;

the person violates the provisions of Article 126, paragraph (2) in delisting securities;

the person fails to give a notification under the provisions of Article 156-6, paragraph (3), Article 156-13, or Article 156-19, paragraph (3), or gives a false notification;

the person violates the provisions of Article 156-12, Article 156-20-10, or Article 156-20-21, paragraph (1);

the person fails to give a notification under the provisions of Article 156-20-11 or Article 156-20-21, paragraph (2) or (3), or gives a false notification;

the person fails to give a notification under the provisions of Article 156-27, paragraph (2) or Article 156-28, paragraph (2) or (3), or gives a false notification;

the person fails to give a notification under the provisions of Article 156-72, paragraph (2), Article 156-77, paragraph (1), or Article 156-78, or gives a false notification; or

the person, in violation of the provisions of Article 156-74, paragraph (1), fails to establish operational rules or fails to obtain the authorization of the Prime Minister for them, or changes the operational rules without obtaining the authorization of the Prime Minister;

the person, in violation of the provisions of Article 156-87, paragraph (1), fails to establish operational rules or fails to obtain authorization of the Prime Minister, or, in violation of the provisions of paragraph (3) of that Article, changes the operational rules without obtaining the authorization of the Prime Minister.

An officer (including a provisional board member and a provisional auditor) or employee of an investor protection fund who fails to make a report under the provisions of Article 79-55, paragraph (4) or Article 79-59, paragraph (5), or makes a false report, is subject to punishment by a fine of not more than 300,000 yen.