Rules on Enforcement of Articles of Incorporation
Established on November 27, 1998
Revised on March 23, 1999
Revised on April 26, 1999
Revised on November 17, 2000
Revised on March 19, 2004
Revised on January 20, 2006
Revised on February 16, 2007
Revised on September 21, 2007
Revised on September 19, 2008
Revised on January 16, 2009
Revised on December 17, 2009
Revised on June 16, 2011
Revised on June 14, 2012
Revised on October 17, 2013
Revised on October 16, 2014
Revised on June 11, 2015
Revised on January 21, 2016
Revised on March 9, 2017
Revised on May 18, 2017
Revised on May 17, 2018
Revised on April 18, 2019
Revised on December 19, 2019
Revised on May 20, 2021

Article 1.

Purpose

These Rules stipulate the necessary matters concerning the enforcement of the Articles of Incorporation
pursuant to the provisions of Article 5, Paragraph 2 of the Articles of Incorporation.

Article 2.

Application for Admission

1. Matters to be stated in the application for admission of a Full Member stipulated in Article 8, Paragraph 1 of
the Articles of Incorporation shall be as follows:(1) Trade name or name;(2) The location of the head office and the representative telephone number;(3) Amount of capital;(4) Date of incorporation;(5) The type of business registered or licensed, the number of registration or license, and the date ofregistration or license;(6) Titles and names of officers (meaning officers stipulated in Article 29-4, paragraph (1) of the Financial
Instruments and Exchange Act (Act No. 25 of 1948; hereinafter referred to as the “FIEA”); the same
shall apply hereinafter);(7) The titles and names of the employees (hereinafter referred to as the “Important Employee”) stipulated
in Article 15-4 of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet
Order No. 321 of 1965) on Financial Instruments Business for Investment Trusts and Investment
Corporations;(8) Number of officers and employees; and(9) Type of other business, if any.

2. The application for admission shall be in Appended Form 1 for Full Members and Appended Form 2 for
Supporting Members.

Article 3.

Documents to Be Attached to Application for Admission

1. Documents to be attached to an application for admission to a Full Member stipulated in Article 8, Paragraph
2 of the Articles of Incorporation shall be the following documents:(1) In the case of a person engaged in the investment management business, a copy of the certificate ofregistration certifying that the person has obtained the registration from the Prime Minister pursuant to
the provisions of Article 29 of the FIEA, in the case of a trust company, etc. becoming a trustee
company of an investment trust managed without instructions from the settlor, a copy of the license
certifying that the trust company has obtained a license pursuant to the provisions of Article 3 or Article
53 of the Trust Business Act (Act No. 154 of 2004) or a document in lieu thereof;(2) A document evidencing that none of the following applies (limited to persons who engage in theinvestment management business):(a) None of the items listed in Article 29-4, paragraph (1), item (i) (excluding (d) through (f)) of the FIEA
applies;(b) None of the items listed in Article 29-4, paragraph (1), item (ii) of the FIEA applies to officers or
Important Employees;(c) None of the items listed in Article 29-4, paragraph (1), item (iv) (excluding (d)) of the FIEA applies;and(d) None of the items listed in Article 29-4, paragraph (1), item (v) (excluding (c)) of the FIEA applies.
(3) Articles of Incorporation;(4) A copy of the certificate of registered matters or a copy of the registration information obtained from aperson designated pursuant to Article 3, paragraph (1) of the Act on Provision of Registration
Information through Telecommunication Lines;(5) A document stating the contents and methods of the business;(6) A document stating the personnel structure pertaining to the business and the business execution systemof the organization, etc.;(7) Resume of an officer (meaning a registered director (including an executive officer; hereinafter referred
to as the “Director, etc.”), and in the case of an investment manager without instructions from the settlor,
limited to the representative director, etc. stipulated in Article 6, and a director and auditor who has
jurisdiction over the business pertaining to an investment trust managed without instructions from thesettlor; hereinafter the same shall apply in this Article and Article 10) and the Important Employee (inthe case of an investment manager without instructions from the settlor, limited to an officer);(8) A copy of the extract of the certificate of residence of an officer and the Important Employee or adocument in lieu thereof;(9) A copy of a certificate issued by a public agency to the effect that officers and the Important Employees
do not fall under Article 29-4, paragraph (1), item (ii) (b) of the FIEA or any other document in lieu
thereof.

(10) A document in which the officers and the Important Employees pledge to the Chairperson of the
Association that they do not fall under any of Article 29-4, paragraph (1), item (ii) (a) or (c) through (i)of the FIEA (limited to officers in the case of an investment manager without instructions from thesettlor);(11) A document stating the matters listed in (a) through (f) of item (iv) of Article 9 of the Cabinet Office
Order on Financial Instruments Business, etc. (Cabinet Office Order No. 52 of 2007; hereinafterreferred to as the “Cabinet Office Order”) as the status of the Persons in Specified Relationships(meaning the Persons in Specified Relationships stipulated in the same item) (limited to a person who
engages in Investment Management Business);(12) A document stating the name and location of the branch office or business office;(13) The latest balance sheet (including related notes) and profit and loss statement (including related notes);(14) A document that calculates the amount of net assets (meaning the amount of net assets stipulated in
Article 29-4, paragraph (1), item (v) of the FIEA);(15) A document stating the matters listed in Article 10, paragraph (1), item (iii) (b) of the Cabinet Office
Order with respect to the major shareholders (meaning the major shareholders stipulated in Article 29-4,
paragraph (2) of the FIEA) and the top 10 shareholders in descending order of the number of voting
rights held, including major shareholders (in the case of a foreign juridical person, a document
evidencing that the confirmation stipulated in Article 29-4, paragraph (1), item (v) (f) of the FIEA has
been made with respect to a person equivalent to a major shareholder, or a document equivalent
thereto);(16) A schematic showing the location of the head office; and(17) Other documents deemed necessary by the Association.
2. The following documents shall be attached to the application for admission of a Supporting Member
stipulated in Article 8, Paragraph 2 of the Articles of Incorporation:(1) In the case of a person engaged in Type I Financial Instruments Business, a copy of the certificate ofregistration certifying that the person has obtained registration from the Prime Minister pursuant to theprovisions of Article 29 of the FIEA; in the case of a registered financial institution, a copy of thecertificate of registration certifying that the institution has obtained registration from the Prime Minister
pursuant to the provisions of Article 33-4 of the same Act; in the case of a trust company, etc., that is atrustee company of an investment trust managed under instructions from the settlor, a copy of thecertificate of approval certifying that the company has obtained approval pertaining to the trust business,or a document in lieu thereof;(2) A map showing the location of the head office; and(3) Other documents deemed necessary by the Association.

Article 4.

Notification by Administrative Contact Person

A person who intends to join the Association as a Full Member or a Supporting Member shall appoint an
administrative contact person and, when submitting an application for admission stipulated in Article 8,
Paragraph 1 of the Articles of Incorporation to the Association, shall notify the Association of the name, title,and contact information of the administrative contact person using Appended Form 3.

Article 5.

Refusal of Admission

The grounds stipulated in the Rules on Enforcement of Articles of Incorporation pursuant to the provisions ofArticle 9, Paragraph 1, Item 4 of the Articles of Incorporation shall be as follows:(1) It is found that the business cannot be properly executed in light of the status of securing officers or
employees who have sufficient knowledge and experience concerning the business that they conduct, as
well as the organizational structure; and(2) The credibility of the financial instruments business is likely to be impaired by the existence of officers
or employees who have an inappropriate qualification for the management of business in light of theirbackground, relationship with an organized crime group stipulated in Article 2, item (ii) of the Act on
the Prevention of Unjust Acts by Organized Crime Group Members (Act No. 77 of 1991) or with anorganized crime group member stipulated in item (vi) of the same article, or other circumstances.

Article 6.

Qualification Requirements for Full Member Representatives, etc.

1. The Full Member Representative and the agent stipulated in Article 10, Paragraph 1 of the Articles ofIncorporation shall be a person who satisfies the requirements listed the following items:(1) Full Member Representative: The director representing the relevant company registered (including theexecutive officer representing the relevant company; hereinafter referred to as the “Representative
Director, etc.”); provided, however, that in the case of a foreign juridical person, the person is therepresentative in Japan designated by such juridical person; and(2) Agent of the Full Member Representative: The person is the Director, etc. or the person who has
authority equivalent thereto; provided, however, that in the case of a foreign juridical person, the person
has the authority equivalent to that of the representative in Japan.
2. A person representing the Supporting Member stipulated in Article 10, Paragraph 2 of the Articles ofIncorporation (hereinafter referred to as the “Supporting Member Representative”) shall be a person
representing the relevant juridical person or a person who has a position equivalent thereto; provided,
however, that in the case of a foreign juridical person, the person shall be the representative in Japan
designated by such juridical person.

Article 7.

Notification of Full Member Representative, etc.

1. A Full Member and a Supporting Member (hereinafter referred to as the “Member”) shall immediately notify
the Association through the method of the Electronic Notification and Storage System for Notification from
Members of the Association (hereinafter referred to as the “Notification Management System of Investment
Trusts Association”), after the admission to the Association has been approved, using Appended Form 4 andAppended Form 4-[2] in the case of a Full Member, of the Full Member Representative and the agent
stipulated in Article 10, Paragraph 1 of the Articles of Incorporation, and using Appended Form 5 in the caseof a Supporting Member, of the Supporting Member Representative stipulated in Paragraph 2 of the same
article.

2. The Member shall, in the event of a change (including a change in the position) in the Full Member
Representative, agent, or the Supporting Member Representative who has been notified to the Association
pursuant to the preceding paragraph, promptly notify the Association of the change using Appended Form 6
or Appended Form 6-[2] in the case of a Full Member and using Appended Form 7 in the case of a
Supporting Member, through the method of the Notification Management System of Investment Trusts
Association.

Article 8.

Notification of Change of Administrative Contact Person

In the event of a change in the name, title, or contact information of the administrative contact person notified
to the Association, the Member shall notify the Association of the change through the method of the
Notification Management System of Investment Trusts Association using Appended Form 8.

Article 9.

Payment of Admission Fee, etc.

1. The admission fee for a Full Member stipulated in Article 11, Paragraph 1 of the Articles of Incorporation
shall be paid to the Association by the date separately stipulated.
2. If the admission fee is not paid by the prescribed due date, the Association may rescind the approval of theadmission of the relevant applicant by a resolution of the Board of Directors.
3. If the approval for admission is rescinded pursuant to the provisions of the preceding paragraph, theAssociation shall notify such applicant in writing to that effect.

Article 10.

Matters to be Reported by Full Members

1. A report to be made by a Full Member stipulated in Article 12 of the Articles of Incorporation shall be thematters listed in the following items:
With regard to the matters listed in the following items for which a report form has been established, a reportshall be submitted to the Association through the method of the Notification Management System of
Investment Trusts Association using the form stipulated in the following items:(1) With regard to the type of business (excluding investment management business) stipulated in Article
29-2, paragraph (1), item (v) of the FIEA, the business has been changed in the registration or abolishedpursuant to the provisions of Article 31 of the same Act:

Appended Form No. 9(2) When a notification is made to the effect that the business stipulated in Article 35, paragraph (2) of the
FIEA is to be performed pursuant to the provisions of paragraph (3) of the same article, or when anotification is made to the effect that such business has been abolished pursuant to the provisions ofparagraph (6) of the same article:

Appended Form No. 10(3) When a Full Member has obtained approval for the financial instruments business stipulated in Article
35, paragraph (4) of the FIEA and the business other than the business stipulated in paragraph (1) andparagraph (2) of the same article, or has notified that it has abolished the business pursuant to theprovisions of paragraph (6) of the same article:

Appended Form No. 11(4) When the financial instruments business (limited to the investment management business) has beensuspended or resumed:

Appended Form No. 12

(5) If the Articles of Incorporation have been amended:

Appended Form No. 13(6) When the contents and methods of the business have changed:

Appended Form No. 14(7) When the amount of capital has changed:

Appended Form No. 15(8) When the trade name or name has changed:

Appended Form No. 16(9) When a branch office or business office has been established or abolished:

Appended Form No. 17(10) When the name or location of the head office, branch office, or business office has changed:(a) Location of head office:Appended Form No. 18(b) The name or location of the branch office or business office:Appended Form No. 18-[2](11) When an officer has changed (including a change of position):

Appended Form No. 19(12) When there is a change in the Important Employees (including a change in position) (limited to Full
Members engaged in the investment management business):

Appended Form No. 20(13) (Deleted)(14) (Deleted)(15) (Deleted)(16) When a business report (including attached documents) has been prepared (limited to Full Members
engaged in the investment management business):(17) When an audit certification has been obtained from a certified public accountant or an audit firm withregard to the financial statements or interim financial statements that indicate the company’s financial
status, etc.:(a) Full Members who operate the investment trust entrustment business:(b) FullMembers

engagedintheInvestment

Corporation

Appended Form No. 21

Asset Management

Business:

Appended Form No. 22(18) When there is an increase or decrease of 30% or more in the total amount of net assets with respect tothe contents of the report made pursuant to the provisions of the preceding Item, or when there is anincrease or decrease of 30% or more in the total amount of net assets (the calculation shall be madebased on the total amount of net assets stated in the most recently submitted report) during the period
between the report made pursuant to the provisions of this Item and the next report made pursuant to theprovisions of the preceding Item; provided, however, that a report pursuant to the provisions of this
Item shall exclude, with regard to a Full Member whose total amount of net assets is less than 15 billion
yen, the period until such total amount of net assets reaches 15 billion yen:(a) Full Members who operate the investment trust entrustment business:

Appended Form 21-[2](b) Full Members engaged in the Investment Corporation Asset Management Business:
Appended Form 22-[2](19) When a Full Member has abolished the business pertaining to the investment management business orinvestment trust managed without instructions from the settlor:

Appended Form No. 23(20) In the event of a merger or dissolution of the company, or the transfer or acquisition of all or part of thebusiness:(a) In the event of a merger:

Appended Form No. 24(b) When all or part of the business has been transferred or acquired:

Appended Form No. 25

(21) With regard to a Full Member or a trust bank that is entrusted with the trust property pertaining to an
investment trust managed by a Full Member, when a petition for commencement of civil rehabilitation
proceedings pursuant to the provisions of the Civil Rehabilitation Act (Act No. 225 of 1999), a petition
for commencement of reorganization proceedings pursuant to the provisions of the Corporate
Reorganization Act (Act No. 154 of 2002), a petition for commencement of bankruptcy proceedings
pursuant to the provisions of the Bankruptcy Act (Act No. 75 of 2004), or a fact equivalent thereto has
occurred:

Appended Form No. 26(22) When an inspection has been commenced by the competent government agency pursuant to theprovisions of Article 56-2 of the FIEA or Article 22 of the Act on Investment Trusts and Investment
Corporations (Act No. 198 of 1951; hereinafter referred to as the “Investment Trust Act”):
Appended Form No. 27(23) When the inspection by the competent government agency stipulated in the preceding item has been
completed:(a) When a violation of laws or regulations, etc. has been pointed out:(b) When a Full Member has not pointed out:

Appended Form No. 28

Appended Form No. 29(24) When a Full Member has become aware of the fact that the FIEA, the Investment Trust Act, orders
based on these laws, dispositions based thereon, the Articles of Incorporation or other rules of the
Association (including resolutions of the Board of Directors), the basic terms and conditions of theinvestment trust, the agreement of the investment corporation, or any act in violation of the principle ofgood faith in transactions, or when a Full Member has become aware that the status of compliance with
the FIEA, the Investment Trust Act, orders based on these laws, dispositions based thereon, the Articles
of Incorporation or other rules of the Association (including resolutions of the Board of Directors), thebasic terms and conditions of the investment trust, the agreement of the investment corporation, theprinciple of good faith in transactions, or the status of the business of asset management, etc., or the
status of the assets is not appropriate.

Appended Form No. 30(25) When a business improvement order has been issued pursuant to the provisions of Article 51 of the
FIEA with respect to a Full Member or a major associated corporation of a Full Member:
Appended Form No. 31(26) When a Full Member or a major associated corporation of a Full Member has received a supervisorydisposition pursuant to the provisions of Article 52 of the FIEA:

Appended Form No. 32(27) When a Full Member has received an order to submit reports or materials pursuant to the provisions ofArticle 56-2 of the FIEA:

Appended Form No. 33(28) When a Full Member has submitted a business improvement report or a report or material that has beenordered to be submitted by an order, etc. from the competent minister pursuant to the provisions ofArticle 51 or Article 56-2 of the FIEA:

Appended Form No. 34(29) When a Full Member has received an order to hand over the investment trust agreement pursuant to theprovisions of Article 23 of the Investment Trust Act with regard to the Full Member or the trust bankthat is entrusted with the trust property pertaining to an investment trust managed by a Full Member:
Appended Form No. 35

(30) When a Full Member has received an order to prohibit or suspend a public offering or private placementof beneficiary certificates pursuant to the provisions of Article 26 of the Investment Trust Act(including the book-entry transfer beneficial interest in an investment trust) or other transactions, orwhen a Full Member has come to know that the person taking the action has received an order toprohibit or suspend the handling of a public offering of beneficiary certificates, handling of private
placement, or other transactions:

Appended Form No. 36(31) When a Full Member has come to know that there has been a change in a major shareholder stipulated
in Article 29-4, paragraph (2) of the FIEA:

Appended Form No. 37(32) In the event of an accident such as the leakage of personal information, etc. stipulated in Article 22 oftheGuidelines for Protectionof Personal Information

stipulatedby

the Association:

Appended Form No. 38(33) In addition to what is stipulated in the preceding items, when the Association finds it necessary.
2. With regard to the report pertaining to the change of officers listed in Item 11 of the preceding paragraph or
the Important Employees listed in Item 12, in cases where such a report is a report pertaining to theassumption of office of a new officer or the Important Employee, the following documents pertaining to the
newly appointed officer or the Important Employee shall be attached and reported; provided, however, that if
such a report is an investment manager without instructions from the settlor, the documents listed in Items 2through 4 shall not be required to be attached:(1) Resume;(2) A copy of an extract of the certificate of residence or a document in lieu thereof;(3) A copy of the certificate issued by a public agency that a Full Member does not fall under Article 29-4,
paragraph (1), item (ii) (b) of the FIEA or a document in lieu thereof; and(4) A document pledging to the Chairperson of the Association that a Full Member (limited to the part
pertaining to (a)) and the relevant officer or the Important Employee do not fall under any of Article
29-4, paragraph (1), items (ii) (a) or (c) through (i) of the FIEA.
3. If a Full Member makes a report to the Association pursuant to the provisions of Items 17 and 18 of
Paragraph 1, the Full Member shall promptly publish such document for five (5) consecutive years from theday on which such document was disclosed by the method of making the matters recorded in the file on thecomputer used by the Full Member available for inspection through telecommunications lines.
4. If a Full Member makes a report to the Association pursuant to the provisions of Items 21, 25, 26, 29, and 30
of Paragraph 1, the Full Member shall promptly publish a document stating the contents of such report forfive (5) consecutive years from the date of disclosure of such document by the method of making the mattersrecorded in the file on the computer used by the Full Member available for inspection throughtelecommunications lines.
5. Upon receipt of a report from a Full Member pursuant to the provisions of Items 21, 25, 26, 29, and 30 of
Paragraph 1, the Association shall publish such received document continuously for a period of five years
from the date of receipt of the report by the method of making the matters recorded in the file on thecomputer used by the Association available for inspection through telecommunications lines.

Article 11.

Matters to Be Notified by Supporting Members

The matters to be notified by Supporting Members stipulated in Article 13 of the Articles of Incorporation shallbe as follows:
Notifications to the Association shall be made in the form stipulated in the following items through the methodof the Notification Management System of Investment Trusts Association:(1) When a Supporting Member has abolished the business related to the investment trust entrustment
business, etc.:

Appended Form No. 39(2) When the trade name or name is changed:

Appended Form No. 40(3) When the location of the head office is changed:

Appended Form No. 41

Article 12.

Notification of Withdrawal from Membership

1. The Notification of Withdrawal from Membership stipulated in Article 16 of the Articles of Incorporation
shall be made using Appended Form 42 and shall be submitted to the Association through the method of the
Notification Management System of Investment Trusts Association.
2. Upon receipt of a notification of withdrawal from membership by the Member, the Association shall notify
each Member to that effect.

Article 13.

Matters to Be Stated in Member List

Matters to be stated in the Full Member list and the Supporting Member list stipulated in Article 21, Paragraph
2 of the Articles of Incorporation shall be the name, location, telephone number, and the title and name of theFull Member Representative or the Supporting Member Representative.

Supplementary Provision
These Rules shall come into force on December 1, 1998.

Supplementary Provision
The amended provisions of Article 4-2 shall come into force on March 23, 1999.

Supplementary Provision
The amended provisions of Article 4-2 shall come into force on April 26, 1999.

Supplementary ProvisionThis amendment shall come into force on November 30, 2000.

Supplementary ProvisionThis amendment shall come into force on April 1, 2004.

Supplementary ProvisionThis amendment shall come into force on March 1, 2006.

Supplementary ProvisionThis amendment shall come into force on February 16, 2007.

Supplementary Provisions
1. This amendment shall come into force on the date on which the approval of the competent minister isobtained for the Articles of Incorporation (September 30, 2007).
2. After the enforcement of these amended rules, the provisions of Article 3 prior to the amendment shall apply
to the documents attached to the application for admission in the case where an investment trust entrustment
business that is approved pursuant to the provisions of Article 6 of the Investment Trust Act prior to theamendment applies for admission to the Association.

Supplementary Provisions
1. This amendment shall come into force on October 1, 2008.
2. A person who was actually the Member stipulated in the Articles of Incorporation prior to the amendment at
the time of the enforcement of these amended rules and who is deemed to be a Full Member or a Supporting
Member pursuant to the provisions of Articles 2 and 3 of the Supplementary Provisions of the Amended
Articles of Incorporation dated June 30, 2008 shall be deemed to have submitted the notification stipulated in
Article 3-2 and Article 4-2, Paragraph 1.

Supplementary ProvisionThis amendment shall come into force on January 16, 2009.

Supplementary ProvisionThis amendment shall come into force on December 17, 2009.

Supplementary Provisions (as amended on June 14, 2012)
This amendment shall come into force on the date of registration of incorporation of a general corporation
stipulated in Article 106, paragraph (1) as applied mutatis mutandis by replacing certain terms pursuant to
Article 12, paragraph (1) of the Act on Arrangement of Relevant Acts Incidental to Enforcement of the Act onGeneral Incorporated Associations and General Incorporated Foundations and the Act on Authorization of
Public Interest Incorporated Associations and Public Interest Incorporated Foundations.

Supplementary Provisions
This amendment shall come into force on the date of registration of incorporation of a general corporation(January 4, 2013) stipulated in Article 106, paragraph (1) as applied mutatis mutandis by replacing certain
terms pursuant to Article 12, paragraph (1) of the Act on Arrangement of Relevant Acts Incidental to
Enforcement of the Act on General Incorporated Associations and General Incorporated Foundations and the
Act on Authorization of Public Interest Incorporated Associations and Public Interest Incorporated
Foundations.

Supplementary ProvisionThis amendment shall come into force on December 17, 2009.

Supplementary ProvisionThis amendment shall come into force on October 17, 2013.

Supplementary Provisions
This amendment shall come into force on October 16, 2014.
Provided, however, that the amended provisions of Article 10, Paragraph 1, Items 17 and 18, and Paragraph 3of the same article shall come into force on December 1, 2014.

Supplementary ProvisionThis amendment shall come into force on 11 June 2015.

Supplementary ProvisionThis amendment shall come into force on January 21, 2016.

Supplementary ProvisionThis amendment shall come into force on April 1, 2017.

Supplementary ProvisionThis amendment shall come into force on May 30, 2017.

Supplementary Provisions
1. This amendment shall come into force on June 16, 2018.
2. A written report pursuant to the provisions of Article 10, Paragraph 1, Items 13 through 15 prior to theamendment may be requested from the Full Member to be submitted pursuant to the provisions of Article 10,
Paragraph 1, Item 33 when deemed necessary by the Association.

Supplementary ProvisionThis amendment shall come into force on May 1, 2019.

Supplementary ProvisionThis amendment shall come into force on December 19, 2019.

Supplementary ProvisionThis amendment shall come into force on June 1, 2021.

Appended Form No. 1
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Title and Name of Representative)

Application for Admission
Our Company hereby applies to join your Association as a Full Member pursuant to the provisions of Article 8 of
the Articles of Incorporation of your Association.

1. Trade name or name (Reading)(In English)
2. Location of head office (Postal code)(In English)
Representative telephone number
3. Amount of capital
4. Date of incorporation
5. Type of business for which registration (license) was granted, etc.

[1] Type of business[2] Registration (license) number[3] Date of registration (license)
6. Title and name of officers (Reading)
7. Title and name of the Important Employee (Reading)
8. Number of officers and employees
Officers: XX (including part-time officers: XXX), employees: XX
9. Type of other business conducted(Precautions for Description)
1. For “3. Amount of capital,” enter the amount as of the date of application for admission. If the applicant for membership is aforeign juridical person, the amount shall be the amount of brought-in capital.
2. For “5. Type of business for which registration (license) was granted, etc.,” in the case of a financial instruments business
operator, the applicant for admission shall state all the registered financial instruments business.
3. “6. Title and name of officers (Reading)” may be attached to the application for admission as Appendix.
4. “7. Title and name of the Important Employee (Reading)” shall be entered together with the duties supervised by the relevant
person. It may be attached to the application for admission as Appendix.
5. For “9. Type of other business conducted,” the business other than the financial instruments business shall be entered.

Appended Form No. 2
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Title and Name of Representative)

Application for Admission
Our Company hereby applies to join your Association as a Supporting Member pursuant to the provisions ofArticle 8 of the Articles of Incorporation of your Association.

1. Trade name or name (Reading)(In English)
2. Location of head office (Postal code)(In English)
Representative telephone number
3. Amount of capital or endowment
4. Date of incorporation
5. Status of the business related to the investment trust entrustment business, etc.

(Precautions for Description)
1. For “3. Amount of capital or endowment,” enter the amount as of the date of application for admission. If the applicant formembership is a foreign juridical person, the amount shall be the amount of brought-in capital.
2. For “5. Status of the business related to the investment trust entrustment business,” in the case of a financial instruments
business operator or a person who engages in the banking business, the applicant for admission shall enter the type, theregistration (license) number, and the date of registration (license) of all business for which registration (license) has beenobtained. For other applicants for admission, enter the contents, etc. of the business related to the investment trust
entrustment business, etc. in an easy-to-understand manner.

Appended Form No. 3
Application Date: MM DD, YYYY
To: The Investment Trusts Association, Japan(Trade Name or Name)

Notification of Administrative Contact Person
Our Company hereby notifies your Association that our Company has appointed the following person as ouradministrative contact person, pursuant to Article 4 of the Rules on Enforcement of Articles of Incorporation ofyour Association.
Description(Name)(Affiliation and Title)(Telephone Number)(Fax Number)(E-mail Address)

Appended Form No. 4
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: President
Trade name or name
Representative

Notification of Representative
Our Company hereby notifies your Association that our Company has appointed the following person as ourrepresentative at your Association, pursuant to the provisions of Article 10, Paragraph 1 of the Articles ofIncorporation of your Association.

Description

Title
Name (Reading)NameAppended Form No. 4-[2]Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of AgentOur Company hereby notifies your Association that our Company has appointed the following person as our agent
at your Association, pursuant to the provisions of Article 10, Paragraph 1 of the Articles of Incorporation of your
Association.
Description

Title
Name (Reading)
Name

Appended Form No. 5
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Representative
Our Company hereby notifies your Association that our Company has appointed the following person as ourrepresentative at your Association, pursuant to the provisions of Article 10, Paragraph 2 of the Articles ofIncorporation of your Association.
Description

Title
Name (Reading)NameAppended Form No. 6
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of Representative
Our Company hereby notifies your Association that our Company has changed our representative at your
Association as follows, pursuant to the provisions of Article 10, Paragraph 3 of the Articles of Incorporation ofyour Association.
Description

Before change

After change
Title
Name (Reading)
Name
Date of change

MM DD, YYYY

Application date

MM DD, YYYY

Appended Form No. 6-[2]The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of AgentOur Company hereby notifies your Association that our Company has changed our agent at your Association as
follows, pursuant to the provisions of Article 10, Paragraph 3 of the Articles of Incorporation of your Association.
Description

Before change

After change
Title
Name (Reading)
Name
Date of change

MM DD, YYYY

Appended Form No. 7
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson

Trade name or name
Representative

Notification of Change of Representative
Our Company hereby notifies your Association that our Company will change our representative at your
Association as follows, pursuant to the provisions of Article 10, Paragraph 3 of the Articles of Incorporation ofyour Association.

Description

Before change

After change
Title
Name (Reading)
Name

Date of change

MM DD, YYYY

Appended Form No. 8
Application date

MM DD, YYYY

The Investment Trusts Association, Japan

Trade name or name

Notification of Change of Administrative Contact Person

Our Company hereby notifies your Association that our Company has changed the following matters pertaining toour administrative contact person at your Association as follows, pursuant to the provisions of Article 8 of theRules on Enforcement of Articles of Incorporation of your Association.

Description
Before change

After change
Name (Reading)Name
Affiliation and title
Telephone number
Fax number
E-mail address

Date of change

MM DD, YYYY

Appended Form No. 9
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Type of Business (Registration of Change and Abolition)
Our Company hereby notifies your Association that our Company has registered the change of the following typeof (or has abolished the following type of) business, pursuant to the provisions of Article 10, Paragraph 1, Item 1of the Rules on Enforcement of Articles of Incorporation of your Association.
Description
1. The type and contents, etc. of the business that is registered (abolished)
2. Date of registration (abolition)
3. Date of commencement of business*In the event of a notification of abolition, the description in “3.” is not required.
(Attached document: Registration/Registration of Change (copy))(Please submit the notification after correcting each red letter in the form and deleting such red letters.)

Appended Form No. 10
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification
Since our Company has made a notification pursuant to the provisions of Article 35, paragraph (3) of the FIEA
(Article 35, paragraph (6) of the FIEA) as follows, our Company hereby reports the same pursuant to theprovisions of Article 10, Paragraph 1, Item 2 of the Rules on Enforcement of Articles of Incorporation.

Description
1. Business and contents, etc. notified
2. Date of notification
3. Date of commencement (abolition) of business(Attached document: Notification (copy))(Please submit the notification after correcting each red letter in the form and deleting such red letters.)

Appended Form No. 11
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: President(Trade Name or Name)(Representative)

Notification of Business (Approval/Abolition)
Since our Company has obtained the approval of (or abolished) the business as follows, our Company hereby
reports the same pursuant to the provisions of Article 10, Paragraph 1, Item 3 of the Rules on Enforcement of
Articles of Incorporation.

Description
1. Business and contents, etc. approved (abolished)
2. Date of approval (abolition)
3. Date of commencement of business*In the event of a notification of abolition, the description in “3.” is not required.
(Attached document: Approval/Notification Form (copy))(Please submit the notification after correcting each red letter in the form and deleting such red letters.)

Appended Form No. 12
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Suspension (Resumption) of Financial Instruments Business
Since our Company will suspend (resume) the financial instruments business as follows, our Company hereby
notifies the same pursuant to the provisions of Article 10, Paragraph 1, Item 4 of the Rules on Enforcement of
Articles of Incorporation of your Association.
(In the case of suspension)
1. Reason for suspension: ()

2. Estimated period of suspension(MM DD, YYYY to MM DD, YYYY)(In the case of resumption)
1. Resumption date

MM DD, YYYY

2. Date of submission of Notification of Suspension

MM DD, YYYY

Appended Form No. 13
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Amendment of Articles of Incorporation
Since our Company has amended the Articles of Incorporation on [MM DD, YYYY] (as follows), our Company
hereby notifies your Association of the amendment pursuant to the provisions of Article 10, Paragraph 1, Item 5 of
the Rules on Enforcement of Articles of Incorporation of your Association (as shown in Appendix).

(Attached document: Contents of the amendment and a copy of the amended Articles of Incorporation)

Appended Form No. 14
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Change of Contents and Method of Business
Since our Company has changed our Business Procedures on [MM DD, YYYY], our Company hereby reports thesame as shown in Appendix pursuant to the provisions of Article 10, Paragraph 1, Item 6 of the Rules on
Enforcement of Articles of Incorporation.

(Attached document: Contents of the change and the Business Procedures after the change)

Appended Form No. 15
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of Amount of Capital

Since our Company will change the capital as follows, our Company hereby notifies your Association of thechange pursuant to the provisions of Article 10, Paragraph 1, Item 7 of the Rules on Enforcement of Articles ofIncorporation of your Association.

Description

Before change

After change
CapitalDate of change

Reason for change

MM DD, YYYY

Appended Form No. 16
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of Trade Name or Name

Since our Company will change our trade name or name as follows, our Company hereby notifies your
Association of the change pursuant to the provisions of Article 10, Paragraph 1, Item 8 of the Rules on
Enforcement of Articles of Incorporation of your Association.

Description

Before change

After change
Trade name or nameTrade name or name (Reading)Trade name or name (In English)

Date of change

MM DD, YYYY

Appended Form No. 17
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Establishment/Abolition of Branch Offices and Business Offices

Since our Company will establish/abolish branch offices and business offices as follows, our Company hereby
reports the same to your Association pursuant to the provisions of Article 10, Paragraph 1, Item 9 of the Rules on
Enforcement of Articles of Incorporation of your Association.

Description

Name of Branch Office/Business Office
Postal code
Address
Address (In English)
Telephone number
Fax number

Date of establishment/abolition

Reason for establishment/abolition

MM DD, YYYY

Appended Form No. 18
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of Location of Head OfficeSince our Company will change the location of the head office as follows, our Company hereby reports the same toyour Association pursuant to the provisions of Article 10, Paragraph 1, Item 10 (a) of the Rules on Enforcement of
Articles of Incorporation of your Association.

Description

Before change

After change
Postal code
Address
Address (In English)
Telephone number
Fax number

Date of change

MM DD, YYYY

Appended Form No. 18-[2]Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of Name and Location of Branch Offices and Business Offices

Since our Company will change the name/location of our branch offices/ business offices as follows, ourCompany hereby reports the same to your Association pursuant to the provisions of Article 10, Paragraph 1,
Item 10 (b) of the Rules on Enforcement of Articles of Incorporation of your Association.

Description

After change

Before change

Name of Branch Office/Business Office
Name of Branch Offices/Business Offices(In English)
Postal code
Address
Address (In English)
Telephone number
Fax number

Date of change

MM DD, YYYY

Appended Form No. 19
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Change of Officer (Title)
Since our Company has made changes to our officers on [MM DD, YYYY], our Company hereby reports thesame to your Association as follows pursuant to the provisions of Article 10, Paragraph 1, Item 11 of the Rules on
Enforcement of Articles of Incorporation of your Association.
Description
Contents of change
Date of change(Example)
Dated [MM DD, YYYY]

After change
Director○○ ○○(Example)
Dated [MM DD, YYYY](Retirement)

Before change(Assumption of Office)Or former title, etc.
Director○○ ○○Appended Form No. 20
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Important Employee Change Notification
Since our Company has made changes to our Important Employee on [MM DD, YYYY], our Company hereby
reports the same to your Association as follows pursuant to the provisions of Article 10, Paragraph 1, Item 12 of
the Rules on Enforcement of Articles of Incorporation of your Association.
Description
Contents of change
Person in charge

Date of change(Compliance with Laws andControl of Operation)(Example)
Dated [MM DD, YYYY](Compliance with Laws andControl of Operation)(Example)
Dated [MM DD, YYYY](Compliance with Laws andControl of Operation)

After change
Title
○○ ○○
(Retirement)

Before change(Assumption of
Office)Or former title, etc.
Title
○○ ○○

Appended Form No. 21
Application Date: MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Financial Status, etc. of Full Member
Since our Company has completed our accounting audit of our financial status, etc., our Company hereby reports
the same to your Association as follows pursuant to the provisions of Article 10, Paragraph 1, Item 17 (a) of theRules on Enforcement of Articles of Incorporation of your Association.

1. Summary of settlor company, etc.

2. Contents of business and summary of operations

3. Accounting status of the settlor company, etc.
(1) Balance sheet(2) Profit and loss statement(3) Statement of changes in net assets

Publication date: MM DD, YYYY
Record date: MM DD, YYYY

Location of Head Office

XX-YY, Nihombashi Kabutocho, Chuo-ku, Tokyo

Contact information:XX Group, YY Section, ZZ Department[Precautions for Description]
1. With regard to the publication date, describe the date of first notification of the relevant document as an attached documentin the annual securities report, etc.
2. When describing this Form, follow the precautions for describing the relevant part of Form No. 4 of the Cabinet Office Orderon Disclosure of Information on Regulated Securities.

Appended Form No. 21-[2]Application Date: MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Change of Financial Status, etc. of Full Member
Pursuant to the provisions of Article 10, Paragraph 1, Item 17 (a) (Item 18 (a)) of the Rules on Enforcement of
Articles of Incorporation of your Association, with regard to the Notification of Financial Status, etc. of Full
Member submitted on [MM DD, YYYY], since the total amount of net assets of investment trusts managed by ourCompany on [MM DD, YYYY] has increased or decreased by 30% or more, our Company hereby reports thesame as follows pursuant to the provisions of Article 10, Paragraph 1, Item 18 (a) of the same Rules.

1. Summary of settlor company, etc.

2. Contents of business and summary of operations

3. Accounting status of the settlor company, etc.
(1) Balance sheet(2) Profit and loss statement(3) Statement of changes in net assets

Publication date: MM DD, YYYY
Record date: MM DD, YYYY

Location of Head Office

XX-YY, Nihombashi Kabutocho, Chuo-ku, Tokyo

Contact information:XX Group, YY Section, ZZ Department[Precautions for Description]
1. With regard to the publication date, describe the date of first notification of the relevant document as an attached documentin the annual securities report, etc.
2. When describing this Form, follow the precautions for describing the relevant part of Form No. 4 of the Cabinet Office Orderon Disclosure of Information on Regulated Securities.

Appended Form No. 22
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Financial Status, etc. of Full Member

Since our Company has completed our accounting audit of our financial status, etc., our Company hereby reports
the same as follows pursuant to the provisions of Article 10, Paragraph 1, Item 17 (b) of the Rules on Enforcementof Articles of Incorporation of your Association.

1. The name, the amount of capital, and the contents of the business of the asset management company

2. Management system of the asset management company

3. Status of major shareholders of the asset management company

4. Status of officers of the asset management company

5. Contents of the business and summary of business of the asset management company

Publication date: MM DD, YYYY
Record date: MM DD, YYYY

Location of Head Office

XX-YY, Nihombashi Kabutocho, Chuo-ku, Tokyo

Contact information:XX Group, YY Section, ZZ Department[Precautions for Description]
1. With regard to the publication date, describe the date of first notification of the relevant document as an attached documentin the annual securities report, etc.
2. When describing this Form, follow the precautions for describing the relevant part of Form No. 4-3 of the Cabinet Office
Order on Disclosure of Information on Regulated Securities.

Appended Form 22-[2]Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Change of Financial Status, etc. of Full Member

Pursuant to the provisions of Article 10, Paragraph 1, Item 17 (b) (Item 18 (b)) of the Rules on Enforcementof Articles of Incorporation of your Association, with regard to the Notification of Financial Status, etc. of
Full Member submitted on [MM DD, YYYY], since the total amount of net assets of investment
corporations managed by our Company on [MM DD, YYYY] has increased or decreased by 30% or more,
our Company hereby reports the same as follows pursuant to the provisions of Article 10, Paragraph 1, Item
18 (b) of the same Rules.

1. The name, the amount of capital, and the contents of the business of the asset management company

2. Management system of the asset management company

3. Status of major shareholders of the asset management company

4. Status of officers of the asset management company

5. Contents of the business and summary of business of the asset management company

Publication date: MM DD, YYYY
Record date: MM DD, YYYY

Location of Head Office

XX-YY, Nihombashi Kabutocho, Chuo-ku, Tokyo

Contact information:XX Group, YY Section, ZZ Department[Precautions for Description]
1. With regard to the publication date, describe the date of first notification of the relevant document as an attached documentin the annual securities report, etc.
2. When describing this Form, follow the precautions for describing the relevant part of Form No. 4-3 of the Cabinet Office
Order on Disclosure of Information on Regulated Securities.

Appended Form No. 23
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Abolition of XX Business
Since our Company has abolished our XXXX, our Company hereby reports the same as follows pursuant to theprovisions of Article 10, Paragraph 1, Item 19 of the Rules on Enforcement of Articles of Incorporation.
Description
1. Contents of the business abolished
2. Date of abolition: MM DD, YYYY

Appended Form No. 24
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Merger
Since our Company will merge as follows, our Company hereby notifies your Association of the same pursuant to
the provisions of Article 10, Paragraph 1, Item 20 (a) of the Rules on Enforcement of Articles of Incorporation ofyour Association.
Description
1. Purpose of merger
2. Outline of merger(a) Method of merger(b) Merger ratio(c) Date of merger
3. Summary of the new company

(a) Trade name or name(In English:)(b) Head Office[1] Address (Postal code:(In English:))[2] Representative telephone number[3] Fax number(c) Amount of capital(d) Title and name of an officer (Reading)(e) Title and name (reading) of the Important Employee (Reading)(f) Number of officers and employees

XX persons(including officers: YY persons; employees: ZZ persons)

4. Title and name of the company representative
5. Title and name of the person who is to act as the proxy of the above representative
6. Title and name of an administrative contact person
7. Attached documents(a) List of major shareholders(b) Head office location map(c) Summary of each company before the merger (Appendix)(Appended Form)

Summary of each company before the merger[1] Trade name or name[2] Location[3] Telephone number[4] Representative[5] Date of establishment

MM DD, YYYY

[6] Capital[7] Description of business[8] Number of officers and employees

XX persons (including officers: YY persons; employees: ZZ

persons)[9] Assets under management (net assets) or contract assets: XXXX (Unit: 100 million yen, amount as of theend of the month preceding the merger)[10] Profit and loss and the status of property (Unit: 100 million yen)
Fiscal year ended [Date]
Operating income
Ordinary income
current income
Net assets

Fiscal year ended [Date]

Fiscal year ended [Date]Appended Form No. 25
Application Date: MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Transfer/Acquisition of Business

Since our Company has transferred/acquired the business as follows, our Company hereby reports the same
pursuant to the provisions of Article 10, Paragraph 1, Item 20 (b) of the Rules on Enforcement of Articles ofIncorporation of your Association.

Description

1. Content of business of transfer/acquisition

2. The other party to the transfer/acquisition of business

3. Date of transfer/acquisition of business

4. Method of transfer/acquisition of business

5. Reason for transfer/acquisition of businessAppended Form No. 26
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Petition for Commencement of Bankruptcy Proceedings, etc.
Since a petition for the commencement of bankruptcy proceedings, etc. has been filed against [our Company/XX
Trust Bank that is the trustee bank for the investment trust property established by our Company] as follows, ourCompany hereby reports the same pursuant to the provisions of Article 10, Paragraph 1, Item 21 of the Rules on
Enforcement of Articles of Incorporation of your Association.

1. The date on which such petition for commencement of bankruptcy proceedings, etc. was filed
2. The name, address, and name of the representative of the person who filed such petition for commencementof bankruptcy proceedings, etc. (in the case of an individual, the name and address of the individual,
excluding cases where the person who filed such petition for commencement of bankruptcy proceedings, etc.
is a Full Member)
3. The name and address of the person against whom such petition for commencement of bankruptcy
proceedings, etc. has been filed.
4. The type of such petition for commencement of bankruptcy proceedings, etc.
5. The background that led to the filing of such petition for commencement of bankruptcy proceedings, etc.
6. The content of such petition for commencement of bankruptcy proceedings, etc.
7. The name of the public offering fund, etc. that will be affected by such petition for commencement ofbankruptcy proceedings, etc.

Publication date: MM DD, YYYY
Record date: MM DD, YYYY

Location of Head Office

XX-YY, Nihombashi Kabutocho, Chuo-ku, Tokyo

Contact information:XX Group, YY Section, ZZ Department[Precautions for Description]
1. Enter all the names of public offering funds established/managed by the company that are affected by a petition
for the commencement of bankruptcy proceedings, etc.

Appended Form No. 27
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Commencement of Inspection
As of [MM DD, YYYY], since the Securities and Exchange Surveillance Commission, etc. has commenced aninspection pursuant to the provisions of the Financial Instruments and Exchange Act and the Act on Investment
Trusts and Investment Corporations, our Company hereby reports the same pursuant to the provisions of Article
10, Paragraph 1, Item 22 of the Rules on Enforcement of Articles of Incorporation.

Appended Form No. 28
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Completion of Inspection
Our Company has been notified by AAAA that the inspection conducted by the Securities and Exchange
Surveillance Commission, etc. pursuant to the provisions of the Financial Instruments and Exchange Act and the
Act on Investment Trusts and Investment Corporations as of [MM DD, YYYY] has been completed based on
XXXX, No. YY dated [MM DD, YYYY], and our Company has been pointed out that there are acts, etc. inviolation of laws and regulations and various regulations as follows. Therefore, our Company hereby reports thesame pursuant to the provisions of Article 10, Paragraph 1, Item 23 (a) of the Rules on Enforcement of Articles ofIncorporation.
Description
Matters pointed out, etc.
Name and provisions, etc. of laws
and regulations, and the rules of the
Association, etc.
Summary of the caseContents of acts, etc.

1. Contents of acts
2. Background, causes, etc. of occurrence
3. Status of the internal control system at the time of occurrence[Contact person]

Affiliation
Title and name
Telephone number[Precautions for Description]
1. Briefly enter the contents in the summary column of the matters pointed out and the case and enter the details in thecolumn for the contents of the act.
2. A copy of the Notice of Completion of Inspection shall be attached.

Appended Form No. 29
Application Date: MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Completion of Inspection

Our Company has been notified by AAAA that the inspection conducted by the Securities and Exchange
Surveillance Commission, etc. pursuant to the provisions of the Financial Instruments and Exchange Act and the Act
on Investment Trusts and Investment Corporations as of [MM DD, YYYY] has been completed based on XXXX, No.
YY dated [MM DD, YYYY], and our Company has not been pointed out that there are acts, etc. in violation of laws
and regulations or various regulations as follows. Therefore, our Company hereby reports the same pursuant to theprovisions of Article 10, Paragraph 1, Item 23 (b) of the Rules on Enforcement of Articles of Incorporation.

(Attached document: Copy of the Notice of Completion of Inspection)

Appended Form No. 30
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Our Company recognizes that our Company has committed an act in violation of laws and regulations and various
regulations and other improper acts thereof as follows. Therefore, our Company hereby reports the same pursuant to
the provisions of Article 10, Paragraph 1, Item 24 of the Rules on Enforcement of Articles of Incorporation.

Description

Name and provisions, etc., if
applicable to laws and regulations,the rules of the Association, etc.
Summary of the caseContents of acts, etc.

1. Contents of acts
2. Background, causes, etc. of occurrence
3. Status of the internal control system at the time of occurrence
4. Status of correction and improvement
5. Report to the supervisory government agency[Contact person]

Affiliation
Title and name
Telephone number[Precautions for Description]
1. In the event of no violation of laws and regulations, various regulations, the basic terms and conditions, etc., the relevant
column shall be left blank.
2. Briefly enter the contents in the summary column of the case and enter details in the column for the contents of the act.
3. As to the background of occurrence, the beginning of discovery, date and time of occurrence, department of occurrence,etc. shall also be described in detail.
4. If the status of correction or improvement is being formulated or improved, a separate report shall be submitted after thecompletion thereof. In addition, if internal dispositions, etc. are taken, the details thereof shall also be described.
5. Whether or not a report has been made to the supervisory government agency, and if a report has been made, the details(date of report, etc.) thereof shall be entered, and a copy thereof shall be attached thereto.

Appended Form No. 31
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Business Improvement Order
Since [our Company/AAAA that is our major associated corporation] has received a business improvement
order from XXXX based on YYYY No. ZZZZ dated [MM DD, YYYY] pursuant to the provisions of Article
51 of the Financial Instruments and Exchange Act, our Company hereby reports the same pursuant to theprovisions of Article 10, Paragraph 1, Item 25 of the Rules on Enforcement of Articles of Incorporation.

Description
Name of the administrative
agency that issued the business
improvement order
Summary of the business
improvement order
Summary of the business to be
improved
Scheduled deadline forcompletion of improvement
Name of the affected public
offering fund, etc.
Summary of effects on the
management, operation, or
disposition of the fund, etc.
[Contact person]

Affiliation
Title and name
Telephone number[Precautions for Description]
1. Enter all names of public offering funds established and managed by the company that are affected by the business
improvement order.
(Attached document: A copy of the written order, etc. pertaining to the relevant disposition, etc. (limited to cases where a
Full Member has received an order))Appended Form No. 32
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Supervisory Disposition
Since [our Company/AAAA that is our major associated corporation] has received a supervisory disposition(XXXX) from XXXX based on YYYY No. ZZZZ dated [MM DD, YYYY] pursuant to the provisions of Article
52 of the Financial Instruments and Exchange Act, our Company hereby reports the same pursuant to theprovisions of Article 10, Paragraph 1, Item 26 of the Rules on Enforcement of Articles of Incorporation.

Description

Name of the administrative agency thatissued the supervisory disposition
Summary of the supervisorydisposition
Summary of the business, etc. to becorrected by the disposition
Period of the disposition, etc.
Name of the affected fund, etc.

Summary of effects on the
management, operation, or dispositionof the fund, etc.
[Contact person]

Affiliation
Title and name
Telephone number[Precautions for Description]
1. Enter all names of funds, etc. established and managed by the company that are affected by the disposition.
(Attached document: A copy of the written order, etc. pertaining to the relevant disposition, etc. (limited to cases where a
Full Member has received an order))Appended Form No. 33
Application Date: MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Order to Submit XXXX
Since our Company has been ordered to submit AAAA from XXXX based on YYYY No. ZZZZ dated [MM DD,
YYYY] pursuant to the provisions of Article 56-2 of the Financial Instruments and Exchange Act, our Company
hereby reports the same pursuant to the provisions of Article 10, Paragraph 1, Item 27 of the Rules on
Enforcement of Articles of Incorporation.

(Attached document: A copy of the written order, etc. pertaining to such submission)

Appended Form No. 34
Application Date: MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Regarding Submission of XXXX
Since our Company has been ordered to submit AAAA from XXXX based on YYYY No. ZZZZ dated [MM DD,
YYYY] pursuant to the provisions of (Article 51 and Article 56-2 of) the Financial Instruments and Exchange Act
and has submitted it as of [MM DD, YYYY], our Company hereby reports the same pursuant to the provisions ofArticle 10, Paragraph 1, Item 28 of the Rules on Enforcement of Articles of Incorporation.

(Attached document: A copy of the document submitted to the Financial Services Agency)

Appended Form No. 35
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Order to Hand over Investment Trust Agreement
Since [our Company/AAAA Trust Bank that is a trustee bank for the investment trust property established by ourCompany] has received an order to hand over the investment trust agreement from XXXX based on YYYY No.
ZZZZ dated [MM DD, YYYY] pursuant to the provisions of Article 23 of the Act on Investment Trusts andInvestment Corporations, our Company hereby reports the same pursuant to the provisions of Article 10,
Paragraph 1, Item 29 of the Rules on Enforcement of Articles of Incorporation.

Description

Background to the issuance of theorder of handoverName, etc. of the successor of thefund, etc. (address, name ofrepresentative, contact
information)
Summary of the business, etc. to
be corrected by the disposition
Period of the disposition, etc.
Name of the fund to be handed
over
Summary of effects on the
management, operation, or
disposition of the fund, etc.
[Contact person]

Affiliation
Title and name
Telephone number[Precautions for Description]
1. Enter all names of funds, etc. established and managed by the company that are affected by the disposition.
(Attached document: A copy of such Order, etc. (limited to cases where a Full Member has received an order))Appended Form No. 36
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Report on Order under Article 26 of Investment Trust Act
Since [our Company/AAAA that handles the public offering (private placement and other transactions) ofbeneficiary certificates of investment trusts established by our Company] received a prohibition (suspension)order of the public offering (private placement and other transactions) of beneficiary certificates (or received aprohibition (suspension) order of the handling, etc. of the public offering of beneficiary certificates at thefollowing sales company) from XXXX based on YYYY No. ZZZZ dated [MM DD, YYYY] pursuant to theprovisions of Article 26 of the Act on Investment Trusts and Investment Corporations, our Company hereby
reports the same pursuant to the provisions of Article 10, Paragraph 1, Item 30 of the Rules on Enforcement of
Articles of Incorporation.

Description

Summary of Order
Name of the company whose
public offering is prohibited(suspended)
Period of the disposition, etc.
Names of the fund, etc. whose
public offering is prohibited(suspended)
Summary of effects on the
management, operation, or
disposition of the fund, etc.
[Contact person]

Affiliation
Title and name
Telephone number[Precautions for Description]
1. Enter all names of funds, etc. established and managed by the company that are affected by the disposition.
(Attached document: A copy of such Order, etc. (limited to cases where a Full Member has received an order))Appended Form No. 37
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of Major Shareholder
Since our major shareholders have changed, our Company hereby reports the same pursuant to the provisions ofArticle 10, Paragraph 1, Item 31 of the Rules on Enforcement of Articles of Incorporation.

Description

Name, trade name,or company name

After change
Number of voting
rights held

Percentage

Before change
Number of voting
rights held

Date of change

Percentage

MM DD, YYYY

Appended Form No. 38
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Accident Report on Case of Leakage, etc. of Personal Information, etc.
Since our Company had an accident of the case of leakage, etc. of personal information, etc., our Company hereby
reports the same as follows pursuant to the provisions of Article 10, Paragraph 1, Item 32 of the Rules on
Enforcement of Articles of Incorporation.
New/follow-up report (Previous report: MM DD, YYYY)
Name of the department where
the accident occurred

Affiliation and title ofthe person who caused
the accident and thepersons concerned

Date of occurrence

Date of discovery

Contents of Information leaked,
etc.
Information protection measures
such as encryption□ With measures□ Without measures□ With partial measures□ Unknown

Leakage destination

Status at the time of occurrence□ Wrong transmission of FAX□ Wrong transmission of e-mail□ Wrong delivery by hand to a third party□Wrong delivery of distribution, etc.
□ Oral leakage □Wrong disposal□ Lost□ Others ()

Background to discovery
Status of notification tocustomers, etc.
Presence or absence of
publication
Contents and method of
publication
Analysis of causes of occurrence,
recognition of problems, etc.
(Enter also the status ofcompliance with internal rules,
etc.)(Date of publication)

Measures to prevent recurrence,etc.
Presence or absence of reports tothe supervisory government
agencyRemarks(Date of the report)

Contact person: Affiliation
Title and name:
Telephone number:
E-mail address:
Reporting guidelines, etc. for the Accident Report on Case of Leakage, etc. of Personal Information, etc.
1.
Distinction between new and follow-up reports
Any new report shall be “new,” and the case that has already been reported and that is to be reported in a secondarymanner, such as details thereof, shall be prepared as a “follow-up report.”
2.
Name of the department where the accident occurred, the affiliation and title of the person who caused the accident,
and the persons concerned
Names of the person who caused the accident and the persons concerned are not required to be entered.
3.
Contents of the leaked information, etc.
Specifically enter the type, contents, number of customers, etc. (number of cases), and other matters of personal
information, personal data, or information on processing methods, etc. involved in an accident.
If sensitive information is included, enter the number of such information.
In addition, if the individual number and specific personal information are included, specifically enter the contents
and the number of customers, etc. (number of cases).
4.
Presence or absence of information protection measures such as encryption
With regard to the presence or absence of information protection measures such as encryption, enter the presence orabsence of measures that have been taken in advance with respect to the relevant information at the time of leakage,etc.
5.
Leakage destination
Enter whether the leakage destination has been identified and the status, etc. of collection of personal information, etc.
6.
Status at the time of occurrenceEnter the date and time of occurrence of the accident and the manner in which the accident occurred.
If any notification or report has been made to the police for theft or loss, etc., enter the fact together.
7.
Background to discovery
Enter the date of discovery and the triggers for discovery (complaints from customers, internal inspections, petitions
from persons in charge, etc.)
8.
Status of notification to customers, etc.
With regard to the response to the notification, etc. of the facts to the customer, etc. (the principal) involved in theaccident, specifically enter departments in charge of the response, the number of customers, etc., and the status of the
response, etc.
9.
Presence or absence of publication, date, content, and method of publication
If the information is to be published or has been published, specifically enter the date, content, and method of
publication, and attach the publication materials.
If it is decided not to publish the information, enter the reason therefor.
10. Analysis of causes of occurrence, recognition of problems, etc. (including the status of compliance with internal rules,
etc.)
Specifically enter the background of the accident that occurred, the cause of occurrence, etc.
In light of internal rules, etc. regarding the safety control of personal information, personal data, etc., specifically enter
the status of compliance therewith.
11. Measures to prevent recurrence, etc.
Enter corrective and improvement measures to prevent recurrence, etc.
12. Presence or absence of reports to the supervisory government agency
Enter whether the report has been made to the supervisory government agency (meaning the Financial Services
Agency and the Personal Information Protection Commission) and if the report has been made, enter the date of thereport.

Appended Form No. 39
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Abolition of XX Business

Since our Company has abolished XXXX, our Company hereby reports the same as follows pursuant to theprovisions of Article 11, Item 1 of the Rules on Enforcement of Articles of Incorporation.

Description

1. Contents of the business abolished

2. Date of abolition: MM DD, YYYY

Appended Form No. 40
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of Trade Name or Name
Since our Company will change our trade name or name as follows as of [MM DD, YYYY], our Company hereby
notifies your Association of the same pursuant to the provisions of Article 11, Item 2 of the Rules on Enforcementof Articles of Incorporation of your Association.

Description

After change

Before change

Trade name or nameTrade name or name (Reading)Trade name or name (In English)

Date of change

MM DD, YYYY

Appended Form No. 41
Application date

MM DD, YYYY

The Investment Trusts Association, Japan
To: Chairperson
Trade name or name
Representative

Notification of Change of Location of Head OfficeSince our Company will change the location of the head office as follows, our Company hereby reports the same
to your Association pursuant to the provisions of Article 11, Item 3 of the Rules on Enforcement of Articles ofIncorporation.

Description

After change

Before change

Name of the head office to be changed
Postal code
Address
Address (In English)
Telephone number
Fax number

Date of change

MM DD, YYYY

Appended Form No. 42
Application Date: MM DD, YYYY
The Investment Trusts Association, Japan
To: Chairperson(Trade Name or Name)(Representative)

Notification of Withdrawal from Membership
Our Company hereby notifies your Association of our intention to withdraw from membership as follows
pursuant to the provisions of Article 16 of the Rules on Enforcement of Articles of Incorporation.

Description

1. Date of withdrawal

2. Reasons for withdrawal