through entrustment to another specified business operator, and the said other specified business operator has previously carried out a transaction with any of the persons listed in the items of the following Article, and on that occasion, conducted identification with regard to the natural person who shall be deemed to be the customer, etc. under Article 4, paragraph 3 of the Act and preserves identification records with regard to said customer identification

(v) Where the said specified business operator takes over the business of another specified business operator through a merger, business transfer or other event equivalent thereto, and the said other specified business operator has previously conducted identification with regard to the customer, etc., and has transferred identification records that it had prepared with regard to the said customer identification to the said specified business operator, which then preserves the said identification records.

(vi) Where the said specified business operator takes over the business of another specified business operator through a merger, business transfer or other event equivalent thereto, and said other specified business operator has previously carried out a transaction with any of the persons listed in the items of the following Article, and on that occasion, conducted identification with regard to the natural person who shall be deemed to be the customer, etc. under Article 4, paragraph 3 of the Act, and has transferred identification records that it had prepared with regard to said customer identification to the said specified business operator, which then preserves the said identification records.

(2) The "transactions for which a disguise of identity, etc. is suspected" prescribed in Article 8, paragraph 1 or Article 10, item (ii) shall be the following:

(i) transactions in which a transaction partner is suspected of disguising himself/herself as the customer, etc. or representative person, etc. pertaining to the customer identification upon conclusion of a contract prescribed in Article 8, paragraph 8, item (i), (w), item (ii), (b), item (iii), (b), item (iv), (b), item (v), (b), item (vi), (b) and Article 10, item (ii) (in the case where the said conclusion of a contract falls under transactions with a customer, etc. whose identification has already been verified set forth in the preceding paragraph, customer identification set forth in the same paragraph); hereinafter the same shall apply in the next paragraph)

(ii) transactions with a customer, etc. or representative person, etc. who is suspected to have presented false identification data on the occasion of customer identification upon the conclusion of a contract.

(State, Local Public Entities, Associations or Foundations without Legal Personality and Other Persons Specified by Cabinet Order)

The persons specified by a Cabinet Order as prescribed in Article 4, paragraph 3 of the Act shall be the following:

(i) State

(ii) Local public entity

(iii) Association or foundation without legal personality

(iv) Incorporated administrative agency prescribed in Article 2, paragraph 1 of the Act on General Rules for Incorporated Administrative Agencies (Act No. 103 of 1999)

(v) Corporations of which not less than a half of the stated capital, funds or those equivalent thereto is contributed by the State or a local public entity (excluding those listed in the preceding item, the following item and item (viii))

(vi) Foreign government, foreign governmental organization, foreign local public entity, foreign central bank or international organization of which Japan is a member state

(vii) Worker who concludes a contract for workers' property accumulation savings, etc.

(viii) Issuer of securities listed in the items of Article 27-2 of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965) (excluding those falling under the line of securities prescribed in Article 67-18, item (iv) of the Financial Instruments and Exchange Act)

(ix) Person specified by an ordinance of the competent ministries as being equivalent to any of the persons listed in the preceding items

### Article 13 (Small Transactions, etc.)

(1) The transactions specified by a Cabinet Order as prescribed in Article 7, paragraph 1 of the Act shall be the following:

(i) Transactions without transfer of property

(ii) Transactions for transfer of property, which amounts to not more than 10,000 yen