Investor Presentaiton
The New Rule
(1) New Requirements for Article 63 Filers
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Not to fall within any of the disqualifications categories, such as:
- Had a license canceled in the financial area, or violated relevant laws within the last 5 years
- Being a member of anti-social forces
- (In the case of a foreign entities) failing to appoint a representative in Japan
(In the case of a foreign entities) failing to obtain confirmation by a foreign regulator that it will
respond to the Japanese regulators' request to cooperate in an investigation
Indicate (i) a business office where the Article 63 filer actually conducts business, (ii) a
description of relevant portfolios, and (iii) the name, type, and number of all QIIS
Attach required documents (oath of Article 63 filer and its officers and employees,
constitutional documents of Article 63 filers, corporate registration, etc.)
Disclose the Article 63 Notification to the public (after filing the new form Article 63
Notification during the grace period)
Morgan Lewis
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