Application Procedures for Legal Entity Identifier (LEI)

Tokyo Stock Exchange, Inc.
February 26, 2020

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

Introduction◼
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This material explains how to apply for LEI and the required documents needed.
The application can be made from a web-connected PC.
Required documents for the application:
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Business Registration FormLEI Application Form
Power of Attorney (when applying as an agent for another entity)

You can check if your LEI has been registered or not on the Global Legal Entity
Identifier Foundation (GLEIF) website. Click on https://search.gleif.org/#/search/and enter your entity name (or previous entity name if it has been changed) in thesearch box in the center of the page. If you already have an LEI, the search result
will show your entity name, LEI code, etc.
If you do not have an LEI, the result will show as “Showing 0 results”.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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Introduction◼

Countries of entities and funds that JPX/TSE can allocate an LEI to◼

Please note that countries of entities and funds that JPX/TSE can allocate an
LEI to are as follows (Listed in alphabetical order as of February 2020):[Asia]
Hong Kong, Japan, Singapore, Taiwan, Thailand, United Arab Emirates[Europe]Ireland, Netherlands, United Kingdom[North America/Caribbean]
Cayman Islands, United States, British Virgin Islands

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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Contents

1. About LEI

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2. Outline of Application Procedure

63-1. Application Procedure (Creating an Account)

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3-2. Application Procedure (Preparing the Application)

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3-3. Application Procedure (Data Entry on Application Screen) 13
4. FAQ20Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

1. About LEI◼

The LEI is an international code to identify the party, such as an entity or afund, that carries out financial transactions (hereinafter referred to as“entity”). This code is allocated by a local operating unit (LOU) (JapanExchange Group, Inc./Tokyo Stock Exchange, Inc. (JPX/TSE) are the LOU forJapan) based on an entity’s application.

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The LEI is not only used by authorities to assess actual financial transactions,but also in private sectors to streamline operations in trade, and middle andback offices and to reduce the time spent with customers. It is also used indigital spaces.

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The LEI is a 20-character, alpha-numeric code based on an ISO standard.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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2. Outline of Application Procedure◼

Application procedure
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Creating an applicant account⇓Prepare application forms⇓
Enter data on the application screen (The data will be checked byJPX/TSE.)⇓Registration of an LEI (3 p.m. on the processing date (JST))LEI Fees
Fees

LEI Allocation FeeDescription

New registration (one year)

Annual Renewal Fee Annual renewal (after one year)
Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

Price

JPY 7,000
JPY 5,4006

3-1. Application Procedure (Creating an Account - 1)◼

Creating an Application Account◼ Access the following JPX-LEI portal site link from a web-connected PC:
https://www.lei.jpx.co.jp/lei/en/index.html◼ Click on “My Page” as shown on the screen below.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

73-1. Application Procedure (Creating an Account - 2)◼

Display of the create an account screen◼ Click on “Create an account here”.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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3-1. Application Procedure (Creating an Account - 3)◼

Enter required information to create an account◼ Fill in all fields on the following screen and then click on “Register”.
◼ It is recommended to register an email address that automatically forwards
messages to multiple addresses such as your department’s group emailaddress.
◼ We will use the registered address to send information.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

93-1. Application Procedure (Creating an Account - 4)◼

Completion of Account Registration◼ Your registered email address will receive a notification of your temporary
completion of registration.
◼ Click on the URL link in the body of the email message to complete
registration of your account.
◼ Log in to My Page to confirm your registration data.

10Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

3-2. Application Procedure (Preparing the Application - 1)◼

Documents required for application
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Prepare “LEI Application Form” and “Business Registration Form”.
Prepare a ”Power of Attorney” when applying as an agent for another entity.
Submit the above documents in PDF format from a web-connected PC. You do
not need to send us the original forms.

Business Registration Form◼

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Submit documents that confirm the official entity name, address, and therepresentative’s name and title .
If the information on the documents is up to date, then there is no restriction
set for the date of the documents.
Scan the Business Registration Form to create a PDF document.
To reduce the PDF file size, the file may be created in black and white with alower resolution, and unnecessary pages deleted.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

113-2. Application Procedure (Preparing the Application - 2)◼

LEI Application Form
◼ The form in Word format is posted on the following address:
https://www.lei.jpx.co.jp/lei/en/application1.html
Fill in the information along with a signature of the representative.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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3-3. Application Procedure (Data Entry on Application Screen - 1)◼

Display of application screen◼ Login to My Page and then click on “Application for JPX-LEI”.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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3-3. Application Procedure (Data Entry on Application Screen - 2)◼

Data entry on the application screen◼ Enter data in required fields (with an asterisk mark (*)).

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3-3. Application Procedure (Data Entry on Application Screen - 3)◼

Notes for entering data (1 of 2)
Items

Notes

Preferred Processing
Date

A weekday (limited to business days) can be chosen that isat least five business days after the date of application.

Entity Name

Refer to the Business Registration Form for entering thedata.

Other Entity Names1

If the Entity Name is in English, enter the same data as inthe Entity Name. If the Entity Name is not in English, enter
the official name in English.

Legal FormEnter your legal entity form.

Entity Category

No input required.

Legal Address

Refer to the Business Registration Form for entering thedata.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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3-3. Application Procedure (Data Entry on Application Screen - 4)◼

Notes for entering data (2 of 2)
Items

Notes

Other Headquarters
Address

Click on the Copy from Legal button to copy the data ofLegal Address, if necessary.

Entity ID

Refer to the Business Registration Form for entering thedata.

Ultimate Parent, Direct
ParentRefer to the following page.

Closed data (Applicantdata)

Enter the information on Applicant Entity, Manager, Staff,and Invoice Entity.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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3-3. Application Procedure (Data Entry on Application Screen - 5)◼

Entering Information on Parent Company◼
Follow the steps below to enter the parent company’s information. Should you have anyquestions, please contact us.
Q1. Is there any accounting consolidating parent(s)?
If Yes, go to Q2.
If No, select “NO KNOWN PERSON” for Exception Reason.
Q2. Are there subsidiaries listed in the consolidated financial statements prepared by the parentcompany?
If Yes, go to Q3.
If No, select ”NO CONSOLIDATING” for Exception Reason.
Q3. Is there just one parent company?
If Yes, enter information for Ultimate Parent (Select “Same as Ultimate Parent” for DirectParent).
If No, enter information for Ultimate Parent and Direct Parent.
Q4. Does your parent company have an LEI?
If Yes, select “Parent with an LEI” and enter the necessary information.
If No, select “Parent without an LEI” and enter the necessary information.
* Please attach consolidated financial statements, etc. made by the parent company to verify theparent-subsidiary relationship. A certified copy of registration of the parent company is not required.
17Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

3-3. Application Procedure (Data Entry on Application Screen - 6)◼

Attaching Forms◼ Combine the Business Registration Form and LEI Application Form (includingPower of Attorney if applying as an agent) into a ZIP file and attach it.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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3-3. Application Procedure (Data Entry on Application Screen - 7)◼

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Submission◼ After entering the required information and attaching the documents, click on
the “Register” button.
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A confirmation screen will be displayed. Confirm that the information iscorrect and click on the “Register” button.

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This completes the application procedure. We may contact you if anycorrections or additional confirmation is required.

Notification of allocated LEI code
◼ A notification will be sent to the email address linked to a login account at
3 p.m. (JST) on the processing date.
◼ The allocated code can be found on the JPX-LEI site as follows:
https://www.lei.jpx.co.jp/lei/en/search.html

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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4. FAQ - 1◼

Q1: I have submitted the application. When will an LEI code be allocated?
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Q2: The Business Registration Form PDF is too large to be attached.
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A1: JPX/TSE, as a general rule, allocates an LEI code in five business days. (Ifthere is any missing information in the submitted documents, the allocation ofthe LEI may be delayed. Please apply well in advance.)

A2: When converting documents to PDF, the file size can be reduced bychanging settings to (a) black and white, (b) lower resolution, and (c) removing
unnecessary pages.

Q3: What is the payment schedule for the LEI Allocation Fee?
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A3: An invoice will be sent by postal mail at the beginning of the monthfollowing the month an LEI was allocated.
[Example] If an LEI is allocated in April 2020, an invoice will be sent in early May
2020. The payment deadline will be at the end of June 2020.
* Please note that the bank transfer fee shall be borne by the applicant. 20
Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

4. FAQ - 2◼

Q4: How do I renew my LEI? When do I pay the annual renewal fee?
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A4: Example of a case where the renewal date is April 15, 2021. (renewalmonth: April 2021)◼

An email will be sent on February 1, 2021 (on the first day two months beforethe renewal month) to inform you that the renewal date is approaching.
An invoice will be sent by postal mail in mid-February 2021 (in the middle ofthe first of two months before the renewal month). The payment due dateshall be at the end of March 2021.

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If you do not wish to renew your LEI, applications for termination or suspension
must be made via My Page by the end of March 2021 (by the last business dayof the month preceding the month of the next renewal date or five businessdays before the next renewal date, whichever is earlier). If there is noapplication for termination or suspension, data shall be renewed automatically.
Contact: LEI Desk, Information Services, Tokyo Stock Exchange, Inc.
Phone: +81-50-3377-7830 (direct) Email: lei@jpx.co.jp
Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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Disclaimer◼

This document is to provide information on the LEI system as of the datemade. The information in this document may change due to factors such asrevisions to the system without any prior notice. While every effort has
been made to ensure the accuracy of information in this document, weshall not be liable for any costs or damages arising from the use of thisdocument and the information obtained from this document.

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All rights to this document belong to JPX/TSE. Reproduction or
redistribution without prior consent for any purpose is strictly prohibited.

Copyright (c) 2020 Japan Exchange Group, Inc. All rights reserved.

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