Supplementary Provisions, Article 3

①A notifier of specially permitted services under the former Act, etc. (meaning a notifier of specially permitted services under the former Act and a notifier of specially permitted investment management services (meaning a person who conducts the specially permitted investment management services prescribed in Article 48, paragraph (1) of the Supplementary Provisions of the Act Partially Amending the Securities and Exchange Act, etc. (Act No. 65 of 2006) prior to amendment by the provisions of Article 10 of these Supplementary Provisions (hereinafter in this paragraph referred to as the "Former 2006 Securities and Exchange Act Amendment Act") by being subject to the application of that paragraph (excluding a financial instruments business operator, etc. prescribed in paragraph (4) of that Article)); the same applies in the following paragraph and Article 5 of the Supplementary Provisions), a financial instruments business operator, etc. that gave notification under the former Act, and a financial instruments business operator, etc. prescribed in Article 48, paragraph (4) of the Supplementary Provisions of the Former 2006 Securities and Exchange Act Amendment Act must, within six months from the effective date, submit to the Prime Minister a document stating the matters set forth in Article 63, paragraph (2), item (vii) of the New Act and other matters specified by Cabinet Office Order.

②A document set forth in the items of Article 63, paragraph (3) of the New Act is to be attached to the document that a notifier of specially permitted services under the former Act, etc. submits pursuant to the provisions of the preceding paragraph. In this case, the phrase "document" in items (i) and (ii) of that paragraph is deemed to be replaced with "document or a document stating which of (a) through (d) of that item the person falls under".