Supplementary Provisions, Article 9Transitional Measures Concerning Provision, etc. of Information at the Time of Conclusion of Contract, etc. Pertaining to Financial Instruments Transaction Contracts

①The provisions of Article 37-4 of the Financial Instruments and Exchange Act as amended by the provisions of Article 1 (limited to the amending provisions set forth in Article 1, item (iv) of the Supplementary Provisions; hereinafter the same applies in this paragraph) (hereinafter referred to as the "item (iv) New Financial Instruments and Exchange Act") (including as applied mutatis mutandis with the terms replaced pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act (Act No. 200 of 1948), Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) and Article 62-17, paragraph (1) of the Payment Services Act (Act No. 59 of 2009)) apply to the case where, on or after the date of enforcement of the provisions set forth in that item (hereinafter referred to as the "item (iv) effective date"), the time arrives at which a financial instruments transaction contract under Article 37-4 of the item (iv) New Financial Instruments and Exchange Act is concluded or any other time specified by Cabinet Office Order (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, the time at which a specified mutual aid contract under that Article is concluded or any other time specified by Order of the Ministry of Health, Labour and Welfare; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act, the time at which a specified mutual aid contract under that Article is concluded or any other time specified by order of the competent ministry; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, the time at which a specified electronic payment instruments, etc. transaction contract under that Article is concluded or any other time specified by Cabinet Office Order), and with respect to the case where, before the item (iv) effective date, the time has arrived at which a financial instruments transaction contract under Article 37-4, paragraph (1) of the Financial Instruments and Exchange Act before amendment by the provisions of Article 1 (hereinafter referred to as the "item (iv) Old Financial Instruments and Exchange Act") (including as applied mutatis mutandis with the terms replaced pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act and Article 62-17, paragraph (1) of the Payment Services Act) was concluded or any other time specified by Cabinet Office Order (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, the time at which a specified mutual aid contract under that paragraph was concluded or any other time specified by Order of the Ministry of Health, Labour and Welfare; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act, the time at which a specified mutual aid contract under that paragraph was concluded or any other time specified by order of the competent ministry; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, the time at which a specified electronic payment instruments, etc. transaction contract under that paragraph was concluded or any other time specified by Cabinet Office Order), the provisions then in force continue to govern.

②The provisions of Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act (including as applied mutatis mutandis with the terms replaced pursuant to Article 62-17, paragraph (1) of the Payment Services Act) apply to the cancellation of a financial instruments transaction contract prescribed in Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act that is concluded on or after the item (iv) effective date (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, a specified electronic payment instruments, etc. transaction contract prescribed in that paragraph), and with respect to the cancellation of a financial instruments transaction contract prescribed in Article 37-6, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act (including as applied mutatis mutandis with the terms replaced pursuant to Article 62-17, paragraph (1) of the Payment Services Act) that was concluded before the item (iv) effective date (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-6, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, a specified electronic payment instruments, etc. transaction contract prescribed in that paragraph), the provisions then in force continue to govern.

③The provisions of Article 40-2, paragraph (5) of the item (iv) New Financial Instruments and Exchange Act apply to the case where a customer requests, on or after the item (iv) effective date, the provision of the information under that paragraph pertaining to transactions of securities, etc. (meaning transactions of securities, etc. prescribed in paragraph (1) of that Article), and with respect to the case where a customer requested, before the item (iv) effective date, the delivery of the document under Article 40-2, paragraph (5) of the item (iv) Old Financial Instruments and Exchange Act pertaining to transactions of securities, etc. (meaning transactions of securities, etc. prescribed in Article 40-2, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act), the provisions then in force continue to govern.

④The provisions of Article 42-7 of the item (iv) New Financial Instruments and Exchange Act apply to the provision of the information pertaining to a covered period ending on or after the item (iv) effective date (meaning the period that is the subject of the provision of information on the status of management of the investment property under paragraph (1) of that Article and other matters specified by Cabinet Office Order, which is provided pursuant to the provisions of that paragraph), and with respect to the preparation and delivery of the investment management report under Article 42-7, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pertaining to a covered period ending before the item (iv) effective date (meaning the period that is the subject of the preparation of the investment management report prepared pursuant to the provisions of Article 42-7, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act), the provisions then in force continue to govern.