RULES CONCERNING PLANNING, ETC. OF BUSINESSCONTINUITY MANAGEMENT IN CASE OF EMERGENCY(September 18, 2007)(Purpose)
Article 1 The purpose of the Rules Concerning Planning, Etc. of Business Continuity Management inCase of Emergency (hereinafter referred to as “Rules”) is to protect customers’ assets held by aRegular Member and Specified Business Member and to ensure the continuity and safety of sale andpurchase or other transactions of securities, etc. conducted by a Regular Member and Specified
Business Member through the establishment of the Business Continuity Management (BCM) by theRegular Member and Specified Business Member which assumes an occurrence or its possibility of adisaster, etc. such as an earthquake, storm and flood damage, or terrorism (hereinafter referred to as “inCase of Disaster, etc.”), thereby contributing to protecting investors and maintaining the function ofRegular Members, Specified Business Members, and the financial instruments market.
(Establishment of Business Continuity Management)
Article 2 A Regular Member and Specified Business Member must make efforts to establish theBusiness Continuity Management that enables the member to continue business operations in Case ofDisaster, etc. as well as to resume the business operations immediately if important business
operations are interrupted.
(Establishment of “Business Continuity Plan”, Etc.)
Article 3 A Regular Member and Specified Business Member must establish a “Business Continuity
Plan (BCP)” which is a master plan to continue business operations in Case of Disaster, etc. andthoroughly disseminate it among its Officers and Employees (hereinafter referred to as “Officers andEmployees”).
2. The “Business Continuity Plan” prescribed in the provision of the preceding Paragraph must include
the matters set forth in each Item below depending on the location, business profile, and business scaleof a Regular Member and Specified Business Member:(1) Establishment and clarification of a decision-making and chain-of-command system;(2) Establishment of an internal communication system;(3) Identification, etc. of minimum required important business operations;(4) Establishment of a back-up system of important data, etc.;(5) Ensuring necessary resources;(6) Establishment of a system to communicate with customers;(7) Preparation, etc. of a recovery plan;(8) Preparation of a “Business manual”;

1(9) Establishment of a system to communicate with authorities and organizations concerned;(10) Financial measures taken in Case of Disaster.
3. A Regular Member and Specified Business Member must review the Business Continuity Plan that isprepared pursuant to the provision of Paragraph 1 in a timely manner for the purpose of properly
maintaining it.
4. A Regular Member and Specified Business Member must make efforts to disclose to customers what
measures the member will take in Case of Disaster, etc. based on the Business Continuity Plan by sodescribing on its web page or other means.
(Guideline on the Establishment of Business Continuity Management in Case of Emergency byRegular Members)
Article 4 In addition to the matters under the provisions of these Rules, a basic concept and more
concrete matters regarding the establishment of Business Continuity Management by RegularMembers and Specified Business Members shall be prescribed in the “Guideline on the Establishmentof Business Continuity Management in Case of Emergency by Regular Members” which is separately
prescribed by the Association.

SUPPLEMENTARY PROVISIONS [Omitted](Note) These Rules are based on the version in effect as of January 1, 2016.
This translation is solely for the convenience of those interested therein, and accordingly all questions thatmay arise with regard to the meaning of the words or expressions herein shall be dealt with in accordancewith the original Japanese text.

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