Article 59-2Application for Permission for Some Underwriting Activities

一its trade name or name;

二the location of its head office or principal office;

三the amount of stated capital or the total amount of contributions;

五the name, and the address, residence, or other contact address in Japan, of the person that will perform the activities to which the application pertains;

六the following particulars, as scheduled, of the securities that are connected with the activities to which the application pertains:

イthe issuer or holder;

ロthe class;

ハthe volume and amount;

ニthe issuance or sales location;

ホthe date of issuance or sale;

ヘthe other financial instruments business operator managing the underwriting (meaning the financial instruments business operator that holds discussions with the issuer or holder of the securities in order to fix the content of the wholesale underwriting contract, when a wholesale underwriting contract is being concluded); and

七the amount that the applicant for permission seeks to underwrite.

一a document giving the business outline;

二a document summarizing underwriting activities in the most recent one-year period;

三a document in which the officer that has the authority of representation pledges that the applicant does not fall under the purview of Article 59-4, paragraph (1), item (i) or (ii), and that no officer falls under any of the categories in Article 29-4, paragraph (1), item (ii), (a) through (i) (if the applicant for permission is an individual, a document in which the individual pledges that the relevant individual does not fall under the purview of Article 59-4, paragraph (1), item (i) or (ii) or under any of the categories in Article 29-4, paragraph (1), item (ii), (a) through (i)); and

四the balance sheet and profit and loss statement for each business year ending in the most recent one-year period.