Complaints Processing Rules(Purpose)
Article 1.
The purpose of these Rules is to contribute to sound development of Type II Financial
Instruments Business, etc. by securing investors’ trust through prescribing mattersnecessary for handling Complaint or application for Dispute resolution filed by investors
in relation to Self-Offering and Other Transactions, etc. conducted by Regular Members
and Electronic Public Offering Members (referring to the Self-Offering and OtherTransactions, etc. set forth in Item (9) of Article 3 of the Articles of Incorporation; thesame shall apply hereinafter) and realizing swift and highly transparent response to theissues from a fair and neutral stance.
(Definitions)
Article 2.
In these Rules, the term set forth in each of the following Items shall have the definition
ascribed to it in the relevant Item.
(1) Complaint:
Referring to investors’ expression of dissatisfaction with Regular Member orElectronic Public Offering Member in relation to Self-Offering and OtherTransactions, etc. conducted by Regular Member or Electronic Public Offering
Member, in such forms as demanding Regular Member or Electronic Public
Offering Member to act based on responsibility or duty, or to make compensation
or improvement by alleging that damages would arise.
(2) Dispute:
Referring to the Complaint defined in the preceding Item which cannot beresolved between the parties concerned.

(Entrustment of Operation)
Article 3.
1. The Association shall perform the operations set forth in the following Items bymeans of entrusting such operations to Non-profit Organization, FinancialInstruments Mediation Assistance Center (hereinafter referred to as the “Center”):(1) To convey investor’s Complaint concerning the business of Regular Member orElectronic Public Offering Member to the relevant Regular Member or Electronic
Public Offering Member, and seek to resolve the issue; and1

(2) To have mediation officers mediate between Regular Member or Electronic PublicOffering Member and investor in order to resolve Dispute between the parties.
2. Notwithstanding the provision of the preceding Paragraph, the Association may
involve itself in the operation set forth in Item (1) of the said Paragraph if theAssociation deems it necessary to do so.
3. Ancillary to the execution of the operations set forth in Paragraph 1, the Association
may have the Center perform the work of providing consultation to investor
concerning Self-Offering and Other Transactions, etc.
4. With regard to the entrustment of operations provided for in Paragraph 1, the scope ofthe entrustment of operation to resolve Complaint or mediate, the method of costallocation and any other necessary matters shall be prescribed by agreement between
the Association and the Center.
5. In addition to the provisions of these Rules, matters that are necessary for theoperation of resolving Complaint or mediation which is entrusted to the Center shallbe governed by the Center’s rules.
(Facilitation of Resolution of Complaint and Dispute)
Article 4.
In order to facilitate resolution of Complaint brought by investor or Dispute in relation tothe business of Regular Member or Electronic Public Offering Member, the relevant
Regular Member or Electronic Public Offering Member must cooperate with theoperation of the Center and the Association in good faith.
(Cooperation Toward Resolving Complaint)
Article 5.
When Regular Member or Electronic Public Offering Member was requested by theCenter, in accordance with the rules of the Center in order to resolve Complaint brought
by investor, to explain the circumstances, to express its own view, to provide answer tothe investor, to discuss or negotiate with the investor, or to report the result of its
response, among other things, it must cooperate with such request.
(Participation in Mediation Proceeding and Observance of the Center’s Rules)
Article 6.
1. When application for mediation based on agreement between the Center and theAssociation was filed with the Center by investor, the Regular Member or Electronic
Public Offering Member which is the respondent to the Dispute pertaining to suchapplication must agree to the Center’s conducting mediation in respect of the Disputeand participate in the mediation proceeding. In such case, the relevant Regular2Member or Electronic Public Offering Member must comply with the Center’s rules
in relation to the mediation proceeding.
2. When Regular Member or Electronic Public Offering Member filed with the Center
application for mediation against its investor based on agreement between the Centerand the Association, it must comply with the Center’s rules in relation to themediation proceeding.

(Making the Center’s Operations Widely Known)
Article 7.
1. The Association, Regular Members and Electronic Public Offering Members shallstrive to make the Center’s operations widely known.
2. In order to contribute to prevention of recurrence of the same type of issues, theAssociation and the Center shall make the gist of the consultations, resolutions ofComplaints and situations of mediations handled by the Center (excludingconfidential matters pertaining to the parties to such cases) widely known to Regular
Members and Electronic Public Offering Members.

(Request for Taking Necessary Measures)
Article 8.
In relation to the operation of resolving Complaint or Dispute conducted by the Center, if
the Association was requested by the Center to take necessary measures in considerationof the situation of compliance with laws and regulations, etc. by any Regular Member orElectronic Public Offering Member, the Association shall conduct investigation by suchmeans as questioning the relevant Regular Member or Electronic Public Offering
Member.

(Report on Status of Compliance with Rules by Regular Member and Electronic
Public Offering Member)
Article 9.
In relation to the operation of resolving Complaint or Dispute conducted by the Center,
the Association may receive report from the Center on the status of compliance with laws
and regulations, etc. and the Center’s rules by Regular Members and Electronic Public
Offering Members.
(Preparation of Environment for Resolving Investor’s Complaint and Dispute)3Article 10.
With regard to Complaint brought by investor and Dispute with investor, each Regular
Member and Electronic Public Offering Member must prepare its internal control
environment through such means as designating a section in charge of such matters, andstrive to resolve such matters appropriately.

Supplementary Provisions (May 20, 2011)
These Rules shall become effective from the date on which the Association is certified by
the Prime Minister as Financial Instruments Firms Association provided for in Article 78,
Paragraph 1 of FIEA (June 30, 2011).

Supplementary Provisions (May 26, 2015)
This amendment shall become effective from the date (May 29, 2015) provided for in themain text of Article 1 of the Supplementary Provisions of the Act for Amendment of theFinancial Instruments and Exchange Act (2014, Act No. 44).
(Note) Amended provisions are as follows:(1) Amended Article 1, Item (1) of Article 2, Items (1) and (2) of Paragraph 1 ofArticle 3, Article 4, Article 5, Paragraphs 1 and 2 of Article 6, Paragraphs 1and 2 of Article 7, Article 8 and Article 10; and(2) Amended the headword and the main text of Article 9.
This translation is solely for the convenience of those interested therein, andaccordingly all questions that may arise with regard to the meaning of the words orexpressions herein shall be dealt with in accordance with the original Japanese text.

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