It is noted to records indicating the residence or the location of the head office or principal office of the customer, etc. or others equivalent thereto; hereinafter the same shall apply in this Article; provided, however, that this shall not apply to the case where the specified business operator (including another specified business operator prescribed in items (iii) to (vi) of the same paragraph) has a previous acquaintance with the customer, etc. or representative person, etc. or in any other case where it is obvious that the customer, etc. is identical to the customer, etc. recorded in the customer identification records, etc.:

(i) Having the customer, etc. present or send his/her deposit/savings passbook or another document or object that shows that the customer, etc. is identical to the customer, etc. recorded in the customer identification records

(ii) Having the customer, etc. give information about any matters that cannot be known by any person other than the customer, etc. or any other matters that show that the customer, etc. is identical to the customer, etc. recorded in the customer identification records

### Article 8 (Persons Equivalent to the State, etc.)

The person specified by an ordinance of the competent ministries as prescribed in article 12, item (ix) of the Order shall be the following:

(i) Workers' property accumulation fund

(ii) Welfare pension fund

(iii) National pension fund

(iv) National Pension Fund Association

(v) Corporate pension fund

(vi) Employees who conclude a contract prescribed in Article 8, paragraph 1, item (i), (a) or (b) of the Order in which money deducted from salaries, etc. of employees shall be treated as deposits or savings or installment savings, etc. prescribed in (b) of the same item

(vii) Employees who conclude a trust contract listed in Article 2, item (iv)

(viii) Employees who conclude a group insurance contract or a contract for mutual aid equivalent thereto

(ix) Employees who conclude a contract prescribed in (i) of Article 8, paragraph 1, item (i) of the Order in which money deducted from the salaries, etc. of employees shall be treated as the value for the said act

(x) Employees who conclude a contract prescribed in (n) of Article 8, paragraph 1, item (i) of the Order in which the repayment shall be made with money deducted from the salaries, etc. of employees

(xi) Companies listed or registered on a market in a foreign countries (limited to the countries or regions designated by the National Public Safety Commission and the Commissioner of the Financial Services Agency) where the buying and selling of securities is carried out

## Article 9 (Methods for Preparing Customer Identification Records)

The method specified by an ordinance of the competent ministries as prescribed in Article 6, paragraph 1 of the Act shall be the following:

(i) Customer identification records and attached materials prescribed in the following item shall be prepared in the form of a written document, an electromagnetic record (which means a record made in an electronic form, a magnetic form, or any other form not recognizable to human perception, which is used in information processing by computers; the same shall apply hereinafter) or microfilm; provided, however, that those specified in (b) of the same item shall be prepared in the form of an electromagnetic record.

(ii) What are specified in (a) to (c) below shall be attached materials of the customer identification records, according to categories listed in (a) to (c):

(a) In the case where the identification has been conducted by any of the methods listed in Article 3, paragraph 1, item (i), (c) or item (iii), (b): the said identification document or a copy thereof

(b) In the case where the identification has been conducted by any of the methods listed in Article 3, paragraph 1, item (i), (e) to (g) or item (iii), (c): an electromagnetic record that sufficiently proves that the identification has been conducted by the said method