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Ordinance for Enforcement of the Act on Prevention of Transfer of Criminal Proceeds

Article 1 (Definitions)In this Ordinance, the meanings of the terms listed in the following items shall be asprescribed respectively in those items:(i) Specified business operator: specified business operator prescribed in Article 2,paragraph 2 of the Act on Prevention of Transfer of Criminal Proceeds (hereinafterreferred to as the �Act�)(ii) Customer, etc.: customer, etc. prescribed in Article 2, paragraph 3 of the Act(iii) Customer identification data: customer identification data prescribed in Article 4,paragraph 1, item (i) of the Act(iv) Verification at the time of relevant transaction: verification at the time of relevanttransaction prescribed in Article 4, paragraph 2, item (i), (a) of the Act(v) Specified transaction, etc.: specified transaction, etc. prescribed in Article 4,paragraph 4 of the Act(vi) State, etc.: State, etc. prescribed in Article 4, paragraph 5 of the Act(vii) Representative person, etc.: representative person, etc. prescribed in Article 4,paragraph 6 of the Act(viii) Verification at the time of transaction: verification at the time of transactionprescribed in Article 4, paragraph 6 of the Act(ix) Verification records: verification records prescribed in Article 6, paragraph 1 of theAct(x) Transaction records, etc.: transaction records, etc. prescribed in Article 7, paragraph3 of the Act(xi) Agent work, etc. for specified mandated acts: agent work, etc. for specifiedmandated acts prescribed in Article 2, paragraph 2, item (xliii) of the appended table ofthe ActArticle 2 (Matters Specified by a Cabinet Order as Prescribed in Article 3, item (i) of theOrder)(1) Matters specified by an ordinance of the competent ministries as prescribed inArticle 3, item (i) of the Cabinet Order for Enforcement of the Act on Prevention ofTransfer of Criminal Proceeds (hereinafter referred to as the �Order�) is a leasingcontract in which there is no clause stating that the contract cannot be cancelled, and inwhich a lessee is to pay almost all of the payment for the unpaid leasing term in case ofbreach or cancellation of the contract.(2) The leasing of machinery and any other articles where the total of the expenses paid

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by a person who receives the leasing service during the leasing term (limited to the termduring which the contract pertaining to the leasing of the said machinery and articlesmay not be cancelled) exceeds the amount almost equivalent to 90% of the value usuallyneeded for obtaining such machinery or- article shall fall under the scope of the leasingcontract in which the person is expected to bear substantial expenses resulting from theuse of the articles set forth in Article 3, item (ii) of the Order.

Article 3 (Contracts pertaining to Persons Excluded from the Scope of Beneficiaries ofTrust)The contracts specified by an ordinance of the competent ministries as prescribed in

Article 5 of the Order shall be the contracts prescribed in the following items:(i) Qualified retirement pension contract prescribed in Article 20, paragraph 3 of the

Supplementary Provisions of the Corporation Tax Act (Act No. 34 of 1965) (simplyreferred to as a �qualified retirement pension contract� in paragraph 1, item (iii), (b) ofthe following Article)(ii) Trust contract implemented as a measure prescribed in Article 3 or Article 5 of the

Act on Securing of Payment of Salaries, etc. (Act No. 34 of 1976)(iii) Trust contract for the management and disposal of securities and money to

appropriate them for the payment of a retirement allowance, etc. prescribed in Article30, paragraph 1 of the Income Tax Act (Act No. 33 of 1965)(iv) Trust contract in which money deducted from salaries, etc. (which means salaries,

etc. prescribed in Article 28, paragraph 1 of the Income Tax Act) of an employee(including an officer of a juridical person; the same shall apply hereinafter) is treated astrust money(v) Trust contract where the act of acquiring share certificates under such trust

contract satisfies all requirements listed in (a) to (f) of Article 16, paragraph 1, item(vii)-2 of the Cabinet Office Ordinance on Definitions under Article 2 of the FinancialInstruments and Exchange Act (Ordinance of the Ministry of Finance No. 14 of 1993;referred to as the �Ordinance on Definitions� in the following item)(vi) Trust contract which satisfies all requirements listed in the following items:(a) It is a money trust contract in which an issuing company, etc. (which means an

issuing company of share certificates or its controlled company, etc. (which means acontrolled company, etc. prescribed in Article 6, paragraph 3 of the Ordinance onDefinitions) or affiliated company (which means an affiliated company prescribed inArticle 7, paragraph 2 of the Ordinance on Definitions); the same shall apply in (c)) isnamed as the settler of the trust and under which the trustee of the trust pertaining to

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the said trust contract acquires or buys share certificates of the said issuing company(b) It is a trust contract under which in accordance with the rules (limited to those

which have been notified pursuant to the provisions of Article 89 of the Labor StandardsAct (Act No. 49 of 1947) providing that share certificates of the said issuing companywhich are acquired or purchased by the trustee of the trust pertaining to the said trustcontract or the proceeds of the sale of the said share certificates be deliveredcorresponding to certain criteria prescribed in consideration of the length of service,achievement, reasons for retirement and other matters concerning the subjectemployees (which mean the subject employees prescribed in Article 16, paragraph 1,item (vii)-2, (a), 1 of the Ordinance on Definitions; the same shall apply hereinafter in(b)), such share certificates or such proceeds of the sale are to be delivered to the subjectemployees or persons who were the subject employees or their heirs or generalsuccessors(c) It is a trust contrast under which the entire amount of money to be allocated for

the payment of trust money is to be contributed by the issuing company, etc.(d) It is a trust contract under which, in case where share options are to be granted to

the trustee of the trust pertaining to the said trust contract, all of such share optionsare to be granted by the issuing company(vii) Trust contract pertaining to a public trust prescribed in Article 1 of the Act on

Public Trust (Act No. 62 of 1922)(viii) Contract for a trust prescribed in Article 130-2, paragraph 1 and paragraph 2 of

the Welfare Pension Insurance Act (Act No. 115 of 1954) (including the cases where it isapplied mutatis mutandis pursuant to Article 136-3, paragraph 2 of the same Act) aswell as in Article 136-3, paragraph 1, item (i) and item (v), (f) of the same Act, which isconcluded by a welfare pension fund, contract for a trust prescribed in Article 159-2,paragraph 1 and paragraph 2 of the same Act, in Article 136-3, paragraph 1, item (i)and item (v), (f) of the same Act as applied mutatis mutandis pursuant to Article 164,paragraph 3 of the same Act, in Article 130-2, paragraph 2 of the same Act as appliedmutatis mutandis pursuant to Article 136-3, paragraph 2 of the same Act as appliedmutatis mutandis pursuant to Article 164, paragraph 3 of the same Act, as well as inArticle 65, paragraph 1, item (i) of the Defined-Benefit Corporate Pension Act (Act No.50 of 2001) under Article 66, paragraph 1 of the same Act as applied mutatis mutandispursuant to Article 91-7 of the same Act, and in Article 66, paragraph 2 of the same Actas applied mutatis mutandis pursuant to Article 91-7 of the same Act, which isconcluded by the Pension Fund Association, contract for a trust prescribed in Article128, paragraph 3 of the National Pension Act (Act No. 141 of 1959) and in Article 30,

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paragraph 1, item (i) and item (v), (f) and paragraph 2 of the National Pension FundOrder (Cabinet Order No. 304 of 1990), which is concluded by a national pension fund,contract for a trust prescribed in Article 317-15, paragraph 4 of the National PensionAct and in Article 30, paragraph 1, item (i) and item (v), (f) and paragraph 2 of theNational Pension Fund Order as applied mutatis mutandis pursuant to Article 51,paragraph 1 of the same Order, which is concluded by the National Pension FundAssociation, and contract for a trust prescribed in Article 21, paragraph 1, item (iii) ofthe Government Pension Investment Fund Act (Act No. 105 of 2004), which is concludedby the Government Pension Investment Fund

Article 4 (Transactions Unlikely to Be Used for the Transfer of Criminal Proceeds)(1) The transactions specified by an ordinance of the competent ministries asprescribed in Article 7, paragraph 1 of the Order shall be the transactions listed in thefollowing items:(i) Transactions listed in Article 7, paragraph 1, item (i), (c) or (d) of the Order whichare listed as follows:(a) Conclusion of a contract pertaining to a trust pursuant to Article 43-2, paragraph2 of the Financial Instruments and Exchange Act (Act No. 25 of 1948) or establishmentby the terms of trust pertaining to a trust pursuant to the same paragraph or byexercise of the right to designate a beneficiary prescribed in Article 89, paragraph 1 ofthe Trust Act (Act No. 108 of 2006) of legal relationship with a beneficiary of such trust(b) Conclusion of a contract pertaining to a client classification management trustprescribed in Article 143-2, paragraph 1 of the Cabinet Office Ordinance on FinancialInstruments Services, etc. (Cabinet Office Ordinance No. 52 of 2007) or establishmentby the terms of trust pertaining to a client classification management trust prescribedin the same paragraph or by exercise of the right to designate a beneficiary prescribedin Article 89, paragraph 1 of the Trust Act of a legal relationship with a beneficiary ofsuch trust(c) Conclusion of an issuance bond trust contract prescribed in Article 16, paragraph 1of the Act on Financial Settlement (Act No. 59 of 2009) or establishment by an issuancebond trust contract prescribed in the same paragraph or by exercise of the right todesignate a beneficiary prescribed in Article 89, paragraph 1 of the Trust Act of a legalrelationship with a beneficiary of a trust pertaining to such issuance bond trustcontract(d) Conclusion of a performance bond trust contract prescribed in Article 45,paragraph 1 of the Act on Financial Settlement or establishment by a performance

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bond trust contract prescribed in the same paragraph or by exercise of the right todesignate a beneficiary prescribed in Article 89, paragraph 1 of the Trust Act of a legalrelationship with a beneficiary of a trust pertaining to such performance bond trustcontract(e) Conclusion of a contract pertaining to a trust pursuant to Article 98, paragraph 1,item (i) and Article 98-3, paragraph 1, item (i) of the Ordinance for Enforcement of theCommodity Derivatives Act (Ordinance of the Ministry of Agriculture, Forestry andFisheries and the Ministry of Economy, Trade and Industry No. 3 of 2005) orestablishment by the terms of trust pertaining to a trust pursuant to the sameprovisions or by exercise of the right to designate a beneficiary prescribed in Article 89,paragraph 1 of the Trust Act of legal relationship with a beneficiary of such trust(ii) Transactions listed in Article 7, paragraph 1, item (i), (e), (f) or (h) of the Order

which are insurance contracts (which mean insurance contracts prescribed in (g) of thesame item; the same shall apply hereinafter) or contracts for mutual aid (which meancontracts for mutual aid prescribed in (f) of the same item; the same shall applyhereinafter), which pertain to the following matters:(a) Contracts without any conditions requiring the payment of pensions (limited to

those to be paid on the condition of proof of an individual�s existence; the same shallapply in (b)), maturity insurance money, maturity repayment, or maturity mutual aidmoney (referred to as �conditions requiring the payment of maturity insurance money,etc.� in (b)) (excluding contracts without any term limitation in which the payment ismade on the condition of an individual�s death and insurance or mutual aid premiumsshall be paid in a lump sum)(b) Among contracts with conditions requiring the payment of maturity insurance

money, etc., those in which the amount of money equivalent to 80% of the total amountof insurance premiums (including liability reserve, refund or any other fundaccumulated for the insured of an existing contract prescribed in Article 53, paragraph1, item (iv) of the Ordinance for Enforcement of the Insurance Business Act (Ordinanceof the Ministry of Finance No. 5 of 1996) (including the cases where it is applied mutatismutandis pursuant to Article 160 of the same Ordinance)) or mutual aid premiums(including liability reserve, refund or any other fund accumulated for the insured of anexisting contract) to be paid under the said insurance contract or contract for mutualaid exceeds the total of pensions, maturity insurance money, maturity repayment, andmaturity mutual aid money (excluding insurance contracts listed in Article 74, item (i),(a) and item (iii) of the same Ordinance (excluding those listed in Article 83, item (i), (b)and (d)), insurance contracts listed in Article 153, item (i), (a) and item (iii) of the same

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Ordinance, contracts for mutual aid in which the amount of mutual aid money and anyother benefits fluctuate based on the value of the property accounted for as that withinseparate accounts and any other contracts for mutual aid equivalent thereto)(iii) Transactions listed in Article 7, paragraph 1, item (i), (g) of the Order which

pertain to the following:(a) Contracts listed in (a) or (b) of the preceding item(b) Qualified retirement pension contracts, group insurance contracts (which means

insurance contracts in which money deducted from salaries, etc. of employees shall betreated as premiums; the same shall apply in Article 15, item (viii)), insurance contractslisted in Article 83, item (i), (a) to (e), or (i) to (l) of the same item, or contracts formutual aid equivalent thereto(iv) Transactions listed in (i) of Article 7, paragraph 1, item (i) of the Order which are

carried out on an exchange financial instruments market prescribed in Article 2,paragraph 17 of the Financial Instruments and Exchange Act, over-the-counter tradedsecurities market prescribed in Article 67, paragraph 2 of the same Act, or any othermarket equivalent thereto in foreign countries (limited to countries or regionsdesignated by the Commissioner of the Financial Services Agency) where the buyingand selling of securities or foreign market transactions of derivatives prescribed inArticle 2, paragraph 23 of the same Act are carried out, by way of participating intransactions on the said market based on the qualification to participate in transactionson the said market(v) Transactions listed in (i) or (k) of Article 7, paragraph 1, item (i) of the Order

which are carried out between a specified business operator and the Bank of Japan andfor which settlement is made by an account transfer at the Bank of Japan(vi) Transactions listed in (n) of Article 7, paragraph 1, item (i) of the Order which

are listed as follows:(a) Transactions which are carried out between a specified business operator and

the Bank of Japan and for which settlement is made by an account transfer at the Bankof Japan

(b) Transactions based on those listed in item (ii), (a) or (b), or item (iii), (b)(c) Transactions pertaining to transactions in which a customer who is a user

prescribed in Article 2, paragraph 2, item (xxxviii) of the Act delivers the amountequivalent to the charges for goods or rights or the consideration for services, withoutthe user using credit cards, etc. prescribed in the same item, to a specified dealer or aperson engaged in a business providing services on conditions of the purchase of thegoods or rights or the provision of the services from such person and in which the said

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amount of money is received from the said user(vii) Transactions listed in Article 7, paragraph 1, item (i), (p) of the Order which are

listed as follows:(a) Transactions in which a certificate or coupon of a public or corporate bearer

bond prescribed in Article 7, paragraph 1, item (i), (p) of the Order is provided as amortgage

(b) Transactions pertaining to the payment or delivery of money and goods to theState or a local public entity

(c) Transactions for receiving and paying cash which accompany an exchangetransaction or the writing of a cashier�s check prescribed in Article 7, paragraph 1, item(i), (p) of the Order and which are carried out for accepting or refunding deposits orsavings of a customer, etc. (excluding deemed-customers, etc.; the same shall apply initems (ix) and (xiii)) (excluding transactions which amount to more than two millionyen)

(d) Transactions for receiving and paying cash which accompany an exchangetransaction which are carried out for paying the charge for goods of rights or theconsideration for services in relation to which measures equivalent to verification at thetime of transaction and preparation and preservation of verification records similar tothe case for a specified business operator listed in Article 2, paragraph 2, item (i) to item(xv) and item (xxx) (hereinafter referred to as �specified financial institution�) are takenby the person receiving such payment for the customer, etc. or representative person,etc. thereof who makes such payment (excluding transactions which amount to morethan two million yen)(viii) Transactions listed in Article 7, paragraph 1, item (i), (t) of the Order which

pertain to the opening of an account by request prescribed in the main text of Article69-2, paragraph 3 of the Act on Transfer of Bonds, Shares, etc. (Act No.75 of 2001)(including the cases where it is applied mutatis mutandis pursuant to Article 276(limited to the portion related to item (i)) of the same Act), the main text of Article 127-6,paragraph 3 of the same Act, the main text of Article 131, paragraph 3 of the same Act(including the cases where it is applied mutatis mutandis pursuant to Article 228,paragraph 1, Article 235, paragraph 1, Article 239, paragraph 1 and Article 276 (limitedto the portion related to item (ii)) of the same Act) of the same Act, the main text ofArticle 167, paragraph 3 of the same Act (including the cases where it is applied mutatismutandis pursuant to Article 276 (limited to the portion related to item (iii) of the sameAct) and the main text of Article 196, paragraph 3 of the same Act (including the caseswhere it is applied mutatis mutandis pursuant to Article 276 (limited to the portion

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related to item (iv)) of the same Act)(ix) Transactions listed in (a), (i), (k), (n), (t), or (v) of Article 7, paragraph 1, item (i) of

the Order which are carried out with regard to a specified business operator and theBank of Japan as well as a person equivalent thereto who has his/her head office orprincipal office in a foreign country (hereinafter referred to as a �foreign specifiedbusiness operator� in this item) that use a specified communications method (whichmeans an international communications method used between a specified businessoperator, the Bank of Japan, and a foreign specified business operator, for whichnecessary measures are taken to identify the specified business operator, the Bank ofJapan, and the foreign specified business operator who communicate with each otherthrough the said communications methods) as a customer, etc. and for whichverification is made or settlement is directed through the said specified communicationsmethod (excluding transactions with a foreign specified business operator who hashis/her head office or principal office in a country or region designated by theCommissioner of the Financial Services Agency)(x) Transactions specified in Article 7, paragraph 1, item (ii) of the Order in which the

rental fee received at one time by a lessor from a person who receives leasing services is100,000 yen or less(xi) Transactions specified in Article 7, paragraph 1, item (v) of the Order in which the

payment is made through methods other than by cash(xii) Transactions specified in Article 7, paragraph 1, item (vi) of the Order which are

listed as follows:(a) Conclusion of a contract pertaining to business conducted by taking telephone

calls and which contains such terms that when receiving telephone calls, a businessname or wording by which the party receiving telephone calls can be easilydistinguished as a specified business operator listed in Article 2, paragraph 2, item (xli)of the Act who carries out business affairs to provide services of receiving telephonecalls made to a customer and conveying the contents of such telephone calls to suchcustomer shall be clearly indicated (limited to the case where such terms are stated in acontract pertaining to such contract)

(b) Conclusion of a contract pertaining to businesses conducted by taking telephonecalls (including telecommunications by facsimile devices) for receiving applications forcontracts to provide explanations about or consultation on goods, rights, or services or toprovide the goods, rights or services or for concluding such contracts(xiii) Transactions specified in the items of Article 7, paragraph 1 of the Order which

are listed as follows:

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(a) Transactions with the State or a local public entity as a customer, etc. which arecarried out by the officials of the said State or local public entity in charge of the saidtransaction, based on the authority of the law and in accordance with procedures underthe law, and a document by which the said State or local public entity proves that thesaid officials have the said authority or any other document similar thereto is presentedor sent

(b) Transactions carried out by a trustee in bankruptcy or any other personequivalent thereto based on the authority of the law, and a document by which the courtproves the appointment of the person or any other document similar thereto ispresented or sent(2) The transactions specified by an ordinance of the competent ministries as

prescribed in Article 9 of the Order shall be the following transactions:(i) Conclusion of a voluntary guardianship contract prescribed in Article 2, item (i) of

the Act on Voluntary Guardianship Contract (Act No. 150 of 1999), which falls underthe conclusion of a contract for carrying out agent work, etc. for specified mandated actsprescribed in Article 9 of the Order(ii) Transactions listed in item (xiii), (a) or (b) of the preceding paragraph, which falls

under the conclusion of a contract, with regard to agent work, etc. for specifiedmandated acts, prescribed in the preceding item

Article 5 (Methods of Verification of Customer Identification Data of Customers, etc.)(1) The methods specified by an ordinance of the competent ministries as prescribed inArticle 4, paragraph 1 of the Act which pertain to the matters listed in item (i) of thesame paragraph shall, according to the categories of customers, etc. listed in thefollowing items, be the methods specified in the respective items:(i) A customer, etc. (excluding those listed in the following item) who is a natural

person: any of the following methods:(a) Having the customer, etc. or representative person, etc. thereof present the

identification document of the said customer, etc. (which means any of the documentsprescribed in the following Article; the same shall apply hereinafter), which is specifiedin item (i) or item (iv) of the same Article (excluding those listed in item (i), (b) and (g) ofthe same Article) (excluding the case where the representative person, etc. presents thedocument listed in item (i), (f) of the same Article (excluding those for which theissuance has taken place only once; the same shall apply in (b)))

(b) Having the customer, etc. or representative person, etc. thereof present theidentification document of the said customer, etc. listed in item 1 (b), (f) or (g) of the

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following Article (in the case of the presentation of the document listed in (f) of the sameitem, limited to the case where the representative person, etc. presents the saiddocument), and then sending the deposit passbook and any other document pertainingto the transaction with the said customer, etc. (hereinafter referred to as the�documents pertaining to the transaction�) to the residence of the customer, etc.indicated in the said identification document by registered mail or other mail for whichthe acceptance and delivery shall be recorded or other mail equivalent thereto(hereinafter referred to as �registered mail, etc.�) as a postal item which shall not beforwarded or any other postal item equivalent thereto (hereinafter referred to as �postalitem requiring no forwarding, etc.�)

(c) Having the customer, etc. or representative person, etc. thereof send theidentification document of the said customer, etc. specified in item (i) or item (iv) of thefollowing Article or a copy thereof, receiving the said identification document or a copythereof (including a copy made by a specified business operator) and attaching suchidentification document or a copy thereof to verification records by the method listed inArticle 16, paragraph 1, item (ii), and then sending the documents pertaining to thetransaction to the residence of the said customer, etc. indicated in the said identificationdocument by registered mail, etc. as a postal item requiring no forwarding, etc.

(d) Sending the documents pertaining to the transaction to the said customer, etc.by mail to be delivered only to the addressee him/herself or a person designated by thesender to receive them on behalf of the addressee, or other mail equivalent thereto(limited to the case where measures have been taken for verifying the residence, havingthe identification document presented on behalf of the specified business operator, andcommunicating the matters listed in Article 17, paragraph 1, items (i), (iii) (except formatters in parenthesis), and (xi) to the said specified business operator)

(e) Having the customer, etc. transmit an electronic certificate which is issued by aperson accredited under Article 4, paragraph 1 of the Act on Electronic Signature andAuthentication Services (Act No. 102 of 2000; hereinafter referred to as the �ElectronicSignature Act� in this paragraph) and which is used for that person�s authenticationservices (limited to those indicating the name, residence, and date of birth of the saidcustomer, etc.), as well as information on the specified transaction, etc. for which anelectronic signature prescribed in Article 2, paragraph 1 of the Electronic Signature Acthas been made with authentication by the said electronic certificate, and receiving suchcertificate or information

(f) Having the customer, etc. transmit an electronic certificate issued by aprefectural governor pursuant to Article 3, paragraph 6 of the Act on Electronic

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Signature Authentication Services by Local Public Entities (Act No. 153 of 2002;hereinafter referred to as the �Public Authentication Act� in this item) (hereinafter thiscertificate shall be referred to as a �public electronic certificate� in this item) as well asinformation on the specified transaction, etc. for which an electronic signatureprescribed in Article 2, paragraph 1 of the Public Authentication Act has been madewith authentication by the said public electronic certificate, and also transmitinformation on the application for specific authentication services (which means specificauthentication services prescribed in Article 2, paragraph 3 of the Electronic SignatureAct; the same shall apply in this item) for which an electronic signature prescribed inArticle 2, paragraph 1 of the Public Authentication Act has been made withauthentication by the said public electronic certificate, and receiving such certificate orinformation simultaneously (limited to the case where a specified business operator isthe signature verifier prescribed in Article 17, paragraph 4 of the Public AuthenticationAct; in this case, if the said specified business operator is an administrative organ, etc.prescribed in Article 17, paragraph 1 of the Public Authentication Act, it shall not berequired to receive the information on the said application)

(g) Having the customer, etc. transmit an electronic certificate, which is issued by aperson who is accredited by the Minister of Internal Affairs and Communications asprescribed in Article 17, paragraph 1 of the Public Authentication Act and who is thesignature verifier prescribed in paragraph 4 of the same Article, and which is used forspecific authentication services performed by the said accredited person (limited tothose indicating the name, residence and date of birth of the customer, etc., and alsolimited to those issued after the user identification set forth in Article 3, paragraph 3 ofthe same Act pertaining to the said customer, etc. has been conducted by receiving fromhim/her a public electronic certificate and information on application prescribed in (f) orby any other method prescribed in the items of Article 5, paragraph 1 of the Ordinancefor Enforcement of the Act on Electronic Signature and Authentication Services(Ordinance of the Ministry of Internal Affairs and Communications, Ministry of Justice,and Ministry of Economy, Trade and Industry No. 2 of 2001)) as well as information onthe specified transaction, etc. for which an electronic signature prescribed in Article 2,paragraph 1 of the Electronic Signature Act has been made with authentication by thesaid electronic certificate, and receiving such certificate or information(ii) A customer, etc. who is a foreign national prescribed in Article 4, paragraph 1,

item (i) of the Act (limited to a person pertaining to specified transactions, etc. listed inArticle 7, paragraph 1, item (i)): having the said customer, etc. present his/her passport,etc. (which means a passport listed in Article 2, item (v) of the Immigration Control and

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Refugee Recognition Act (Act No. 319 of 1951) or a crew member's pocket-ledger listedin item (vi) of the same Article, limited to a passport, etc. indicating the name and thedate of birth of the said natural person; the same shall apply hereinafter) whichindicates the matters specified in Article 7, paragraph 1, item (i)(iii) A customer, etc. who is a juridical person: any of the following methods:(a) Having the representative person, etc. of the said juridical person present

his/her identification document specified in item (ii) or item (iv) of the following Article(b) Having the representative person, etc. of the said juridical person send his/her

identification document or a copy thereof specified in item (ii) or item (iv) of thefollowing Article, receiving the said identification document or a copy thereof (includinga copy made by a specified business operator) and attaching such document toverification records by the method listed in Article 16, paragraph 1, item (ii) and thensending the documents pertaining to the transaction to the head office, principal office,branch office (including those that shall be deemed to be branch offices pursuant toArticle 933, paragraph 3 of the Companies Act (Act No. 86 of 2005)) of the said customer,etc. or the residence of the representative person in Japan of a foreign company that hasno business office in Japan (hereinafter referred to as �the head office, etc.�) indicated inthe said identification document, by registered mail, etc. as a postal item requiring noforwarding, etc.

(c) Having the representative person, etc. of the said juridical person transmit anelectronic certificate prepared by a registrar pursuant to Article 12-2, paragraph 1 andparagraph 3 of the Commercial Registration Act (Act No. 125 of 1963) as well asinformation on the specified transaction, etc. for which an electronic signatureprescribed in Article 2, paragraph 1 of the Electronic Signature Act has been made withauthentication by the said electronic certificate, and receiving such certificate orinformation(2) Where a specified business operator conducts verification of customer identificationdata by any of the methods listed in item (i), (a) to (c) or item (iii), (a) or (b) of thepreceding paragraph, if the current residence or current location of the head office orprincipal office of the said customer, etc. is not indicated in the said identificationdocument or a copy thereof , the specified business operator may verify the currentresidence or current location of the head office or principal office of the said customer,etc. by having the said customer, etc. or representative person, etc. thereof present theidentification document of the said customer, etc. bearing such indication or any of thedocuments listed in the following items (excluding the identification document andlimited to those on which the date of receipt is sealed or the date of issue is indicated,

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with such date being not more than six months before the day on which they arepresented to or received by the specified business operator; hereinafter referred to asthe �supplementary documents�) or receiving the said identification document or a copythereof, or the said supplementary documents or copies thereof and attaching the saididentification document or a copy thereof (including a copy made by the specifiedbusiness operator), or the said supplementary documents or copies thereof (includingcopies made by the specified business operator) to the verification records by the methodlisted in Article 16, paragraph 1, item (ii). In this case, notwithstanding the provisionsof the preceding paragraph, the documents pertaining to the transaction prescribed initem (i), (b) or (c), or item (iii), (b) of the said paragraph shall be sent to the residence orthe head office, etc. of the said customer, etc. indicated in the said identificationdocument or supplementary documents, or copies thereof:(i) A receipt or tax payment certificate for national tax or local tax(ii) A receipt for social insurance premiums prescribed in Article 74, paragraph 2 of

the Income Tax Act(iii) A receipt for public utility rates (which means rates for electricity, gas and tap

water or other public utilities equivalent thereto supplied in Japan)(iv) In the case where the customer, etc. is a natural person, in addition to what is

listed in the preceding items, a document issued by a public agency or anotherdocument similar thereto, which indicates the name and residence of the said customer,etc.(v) A document issued by a foreign government recognized by the Japanese

government or issued by an authorized international organization or another documentsimilar thereto, which is equivalent to the identification document which is equivalentto what is prescribed in item (i) or item (ii) of the following Article (in the case where thesaid customer, etc. is a natural person, limited to a document indicating his/her nameand residence, and in the case of a juridical person, limited to a document indicating itsname and the location of its head office or principal office)(3) A specified business operator may, when conducting verification of the customeridentification data by the method listed in paragraph 1, item (iii), (b), have therepresentative person of the said customer, etc. present the identification document orsupplementary documents of the said customer, etc. indicating the place that is deemedto be a business office of the said customer, etc. presented, or send the saididentification document or a copy thereof or the said supplementary documents orcopies thereof, and attach the said identification document or a copy thereof (including acopy made by the specified business operator) or the said supplementary documents, or

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copies thereof (including copies made by the specified business operator) to theverification records by the method listed in Article 16, paragraph 1, item (ii), and thensend them to the said place instead of the head office, etc. of the said customer, etc.(4) A specified business operator may, when conducting the verification of customeridentification data by the method listed in paragraph 1, item (i), (b) or (c) or item (ii), (b),do so by any of the following methods instead of sending the documents pertaining tothe transaction by registered mail, etc. as a postal item requiring no forwarding, etc.(i) Having its employees visit the residence or the head office, etc. of the customer, etc.

indicated in the said identification document or a copy thereof and deliver thedocuments pertaining to the transaction to the said customer, etc. (in the case of ajuridical person, its representative person, etc.) (excluding the case prescribed in thefollowing item)(ii) Having its employees visit the residence or the head office, etc. of the customer, etc.

indicated in the identification document or the supplementary documents of the saidcustomer, etc., or copies thereof and deliver the documents pertaining to the transactionto the said customer, etc. (in the case of a juridical person, its representative person,etc.) (limited to the case where the place of current residence or current head office orprincipal office of the said customer, etc. is verified using the said identificationdocument or supplementary documents, or copies thereof pursuant to the provisions ofparagraph 2)(iii) Having its employees visit the place that is deemed to be a business office of the

said customer, etc. indicated in the identification document or the supplementarydocuments of the said customer, etc., or copies thereof and deliver the documentspertaining to the transaction to the representative person, etc. of the said customer, etc.(limited to the case where the said identification document or supplementarydocuments are presented by the representative person, etc. of the said customer, etc., orthe said identification document or a copy thereof or the said supplementary documentsor copies thereof are delivered and the said identification document or a copy thereof(including a copy made by the specified business operator) or the said supplementarydocuments or copies thereof (including copies made by the specified business operator)are attached to the verification records by the method listed in Article 16, paragraph 1,item (ii))

Article 6 (Identification Documents)The documents to be presented or sent to a specified business operator by the methodprescribed in paragraph 1 of the preceding Article shall, according to the categories

15

listed in the following items, be the documents specified in the respective items;provided, however, that the identification documents listed in item (i), (c) to (e) as wellas the identification documents specified in item (iii), identification documents listed initem (i), (f) and (g), item (ii), (b) for which a valid period or expiration date is set, and theidentification documents specified in item (iv) shall be limited to those which are validas of the day on which the documents are presented to or received by the specifiedbusiness operator, and any other identification documents shall be limited to thoseprepared not more than six months before the day on which they are presented to orreceived by the specified business operator:(i) A natural person (excluding those listed in items (iii) and (iv)): any of the following

documents:(a) A seal registration certificate concerning the seal affixed by the customer, etc. to

the document of application or consent for carrying out a specified transaction, etc.(b) A seal registration certificate (excluding that listed in (a)), a transcript of or

extract from a family register (limited to those accompanied by a copy of an appendedcard to the family register), a copy of a resident registration book or a certificate of thematters recorded in a resident registration book (which means a document prepared bythe head of a local public entity to prove the name, address and other matters of anindividual recorded in the basic resident register)

(c) An insurance certificate of National Health Insurance or other health insurance,seamen�s insurance or long-term care insurance, a special insurance certificate for a dayworker under the Health Insurance Act, a membership certificate of a national publicservice personnel mutual aid association or local public service personnel mutual aidassociation or a membership certificate of the mutual aid system for private schoolpersonnel (limited to those indicating the name, residence, and date of birth of the saidnatural person)

(d) A national pension handbook prescribed in Article 13, paragraph 1 of theNational Pension Act, a certificate of child-rearing allowance, a certificate of specialchild-rearing allowance, a maternal and child health handbook, a physically disabledperson�s handbook, a mentally disabled person�s health and welfare handbook, arehabilitation handbook or a war injury and sickness handbook (limited to thoseindicating the name, residence, and date of birth of the said natural person)

(e) A driver�s license, etc. (which means a driver�s license prescribed in Article 92,paragraph 1 of the Road Traffic Act (Act No. 105 of 1960) and a certificate of drivingrecord prescribed in Article 104-4, paragraph 5 of the said Act), a resident cardprescribed in Article 19-3 of the Immigration Control and Refugee Recognition Act, a

16

certificate of special permanent resident prescribed in Article 7, paragraph 1 of theSpecial Act on the Immigration Control of, Inter Alia, Those who have Lost JapaneseNationality Pursuant to the Treaty of Peace with Japan (Act No. 71 of 1991), a basicresident register card prescribed in Article 30-44, paragraph 1 of the Basic ResidentRegister Act (Act No. 81 of 1967) (limited to those indicating the name, residence, anddate of birth of the said natural person) or a passport, etc.

(f) In addition to what is listed in (a) to (e), a document issued by a public agency oranother document similar thereto, which indicates the name, residence, and date ofbirth of the said natural person, and to which the public agency has affixed aphotograph of the said natural person

(g) In addition to what is listed in (a) to (f), a document issued by a public agency oranother document similar thereto, which indicates the name, residence, and date ofbirth of the said natural person(ii) A juridical person (excluding those listed in item (iv)): any of the following

documents:(a) A certificate of the registered matters concerning the registration of the

establishment of the juridical person (in the case where the said juridical person has notyet registered its establishment, a document prepared by the head of the administrativeorgan having jurisdiction over the juridical person to prove the name of the juridicalperson and the location of its head office or principal office) or a seal registrationcertificate (limited to those indicating the name of the said juridical person and thelocation of its head office or principal office)

(b) In addition to what is listed in (a), a document issued by a public agency or anyother document similar thereto, which indicates the name of the said juridical personand the location of its head office or principal office(iii) A person listed in paragraph 1, item (ii) of the preceding Article: a passport, etc.(iv) A foreign national (which means a natural person who does not have Japanese

nationality; excluding those staying in Japan (excluding those staying in Japan inaccordance with Article 9, paragraph 1 of the Agreement under Article VI of the Treatyof Mutual Cooperation and Security Between Japan and the United States of America,Regarding Facilities and Areas and Status of the United States Armed Forces in Japan,or Article 3, paragraph 1 of the Agreement on the Status of the United Nations Forcesin Japan)), and a juridical person having its head office or principal office in a foreignstate: what is specified in item (i) or item (ii), or a document issued by a foreigngovernment recognized by the Japanese government or issued by an authorizedinternational organization or another document similar thereto, which is equivalent to

17

what is specified in items (i) and (ii) (in the case of a natural person, limited to thoseindicating his/her name, residence, and date of birth, and in the case of a juridicalperson, limited to those indicating its name and the location of its head office orprincipal office)

Article 7 (Customer Identification Data, etc. in Lieu of Residence of Foreign Nationalswith No Residence in Japan)(1) The matters specified by an ordinance of the competent ministries as prescribed inArticle 4, paragraph 1, item (i) of the Act shall, according to the categories of specifiedtransactions, etc. listed in the following items, be the matters specified in the respectiveitems:(i) Transactions listed in Article 7, paragraph 1, item (i), (p) or (w) of the Order or

transactions specified in item (v) of the same paragraph (limited to those pertaining toreceiving full payment in cash at the time of delivery of the said precious metal, etc.):nationality and the number of the passport, etc.(ii) Transactions other than those listed in the preceding item: residence(2) When carrying out transactions listed in item (i) of the preceding paragraph, if it isdeemed that the period of stay permitted under the Immigration Control and RefugeeRecognition Act does not exceed 90 days based on the seal of verification for landing, acrew member's landing permit or any other certificate equivalent thereto whichindicates the period of stay (hereinafter referred to as the �period of stay, etc.� in Article17, paragraph 1, item (xxiv)), the person shall be deemed to have no residence in Japanas prescribed in Article 4, paragraph 1, item (i) of the Act.

Article 8 (Method of Verification of Purpose of Carrying Out Transactions)The method specified by an ordinance of the competent ministries as prescribed inArticle 4, paragraph 1 of the Act (including the cases where it is applied by replacingcertain terms pursuant to paragraph 5 of the same Article) which pertains to thematters listed in paragraph 1, item (ii) of the same Article shall be having the saidcustomer, etc. or representative person, etc. thereof give information.

Article 9 (Methods of Verification of Occupation and Contents of Business)The methods specified by an ordinance of the competent ministries as prescribed inArticle 4, paragraph 1 of the Act (including the cases where it is applied by replacingcertain terms pursuant to paragraph 5 of the same Article) which pertain to the matterslisted in paragraph 1, item (iii) of the same Article shall, according to the categories of

18

customers, etc. listed in the following items, be the methods specified in the respectiveitems:

(i) A customer, etc. who is a natural person, or an association or a foundationwithout judicial personality: having the customer, etc. or representative person, etc.thereof, give information(ii) A customer, etc. who is a juridical person (excluding those listed in the followingitem): verifying any of the following documents of the juridical person ( in the case ofthe documents listed in (c) and the document listed in (d) for which a valid period orexpiration date is not set, limited to those prepared not more than six months beforethe day on which they are verified by the specified business operator, and in the caseof the documents listed in (d) for which a valid period or expiration date is set,limited to those which are valid as of the day on which they are verified by thespecified business operator) or copies thereof(a) Articles of incorporation (including those equivalent thereto; the same shallapply in paragraph 2, item (i) of the following Article)(b) In addition to what is listed in (a), a document required to be prepared by thesaid juridical person pursuant to laws and regulations which indicates the contentsof business of the said juridical person(c) A certificate of registered matters concerning the registration of establishment ofthe said juridical person (in the case where the said juridical person has not yetregistered its establishment, a document prepared by the head of the administrativeorgan having jurisdiction over the said juridical person certifying the contents ofbusiness of the said juridical person)(d) In addition to what is listed in (c), a document issued by a public agency or anyother document similar thereto which indicates the contents of business of the saidjuridical person(iii) A customer, etc. who is a juridical person having its head office or principaloffice in a foreign state: in addition to what are listed in the preceding item,verifying any of the following documents or copies thereof:(a) A document required to be prepared by the said juridical person pursuant to theprovisions of foreign laws and regulations which indicates the contents of businessof the said juridical person(b) A document issued by a foreign government recognized by the Japanesegovernment or issued by an authorized international organization or any otherdocument similar thereto which indicates the contents of business of the saidjuridical person (in the case of a document for which a valid period or expiration

19

date is set, limited to a document which is valid as of the day on which it is verifiedby the specified business operator, and in the case of any other document, limited toa document prepared not more than six months before the day on which it is verifiedby the specified business operator)

Article 10 (Methods of Verification of Beneficial Owner, etc.)(1) The method specified by an ordinance of the competent ministries as prescribed inArticle 4, paragraph 1 of the Act which pertains to the matters listed in item (iv) of thesame paragraph shall be having the representative person, etc. of the said customer, etc.give information.(2) The persons specified by an ordinance of the competent ministries as prescribed inArticle 4, paragraph 1, item (iv) of the Act (hereinafter referred to as �beneficial owner�)shall, according to the categories of juridical persons listed in the following items, be thepersons specified in the respective items:(i) A stock company, an investment corporation prescribed in Article 2, paragraph 12 ofthe Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951), aspecific purpose company prescribed in Article 2, paragraph 3 of the Act onSecuritization of Assets (Act No. 105 of 1995) and any other juridical person the votingrights (including the voting rights which are not exercisable pursuant to Article 308,paragraph 1 of the Companies Act or laws and regulations other than the same Act thatare equivalent to the same Act (including foreign laws and regulations) and excludingthe voting rights of shares (including those equivalent thereto; hereinafter the sameshall apply in this item) which are not exercisable at a shareholders� meeting (includingthose equivalent thereto) for all proposals for the selection of officers, etc. prescribed inArticle 423, paragraph 1 of the same Act (excluding accounting auditors) and a changeto the articles of incorporation (including those equivalent to such proposals);hereinafter the same shall apply in this item) of which are granted in accordance withthe number of shares pertaining to such voting rights held or the proportion of thenumber of such shares held to the total number of such shares (excluding a juridicalpersons who falls under the said juridical person pursuant to the provisions of thearticles of incorporation): persons who hold the voting rights exceeding one quarter ofthe total voting rights of the said juridical person (excluding the case where anotherperson holds the voting rights exceeding one half of the total voting rights of the saidjuridical person.)(ii) A juridical person other than the juridical person listed in the preceding item:persons who have the authority to represent the said juridical person

20

Article 11 (Methods of Verification of Customer Identification Data of RepresentativePerson, etc.)(1) Article 5, paragraph 1 (limited to the portion related to item (i) of the sameparagraph) and paragraph 2 of the Act shall apply mutatis mutandis to the methods ofverification of customer identification data of a representative person, etc. pursuant tothe provisions of Article 4, paragraph 1 of the Act as applied by replacing certain termspursuant to the provisions of paragraph 5 of the same Article or pursuant to theprovisions of paragraph 4 (limited to the portion related to paragraph 1 of the sameArticle) of the same Article. In this case, the terms and phrases listed in the middlecolumn of the following table that appears in the provision listed in the left-handcolumn of the same table shall be deemed to be replaced with the corresponding term orphrase listed in the right hand column of the same table.

Article 5, paragraph 1, item(i), (a)

the customer, etc. orrepresentative person, etc.thereof present theidentification document ofthe said customer, etc.

the representative person,etc. present theidentification document ofthe said representativeperson, etc.

the same Article)(excluding the case wherethe representative person,etc. presents the documentlisted in item (i), (f) of thesame Article (excludingthose for which theissuance has taken placeonly once; the same shallapply in (b)))

the same Article)

Article 5, paragraph 1, item(i), (b)

the customer, etc. orrepresentative person, etc.thereof

the representative person,etc.

of the said customer, etc. of the said representativeperson, etc.

item 1 (b), (f) or (g) of thefollowing Article

item 1 (b) or (g) of thefollowing Article

21

the following Article (in thecase of the presentation ofthe document listed in (f) ofthe same item, limited tothe case where therepresentative person, etc.presents the saiddocument)

the following Article

with the said customer, etc. with the saidrepresentative person, etc.

Article 5, paragraph 1, item(i), (c)

the customer, etc. orrepresentative person, etc.thereof

the representative person,etc.

of the said customer, etc. of the said representativeperson, etc.

Article 5, paragraph 1, item(i), (d) to (g)

the said customer, etc. the said representativeperson, etc.

Article 5, paragraph 2 of the said customer, etc. of the said representativeperson, etc.

the said customer, etc. orrepresentative person, etc.thereof

the said representativeperson, etc.

the said customer, etc. is the said representativeperson, etc. is

(2) A specified business operator may, when conducting verification of the customeridentification data by the method listed in Article 5, paragraph 1, item (i), (b) to (d) asapplied mutatis mutandis pursuant to the preceding paragraph, have the saidrepresentative person, etc. present the identification document or supplementarydocuments of the said customer, etc. or said representative person, etc. indicating theplace that is deemed to be the head office or business office of the customer, etc.pertaining to the said representative person, etc. (limited to the State, etc. (excluding anassociations or a foundation without juridical personality, those listed in Article 14,item (iv) of the Order and those listed in item (vi) to item (x) of Article 15); the sameshall apply in item (iii) of the following paragraph) or a public agency to which the saidrepresentative person, etc. belongs a business office of the said customer, etc., or sendthe said identification document or a copy thereof or the said supplementary documents

22

or copies thereof, and attach the said identification document or a copy thereof(including a copy made by the specified business operator) or the said supplementarydocuments or copies thereof (including copies made by the specified business operator)to the verification records by the method listed in Article 16, paragraph 1, item (ii), andsend the documents pertaining to the transaction to the said place instead of theresidence of the said representative person, etc.(3) A specified business operator may, when conducting the verification of customeridentification data by the method listed in Article 5, paragraph 1, item (i), (b) or (c) asapplied mutatis mutandis pursuant to paragraph 1, do so by any of the methods listedin the following items instead of sending the documents pertaining to the transaction byregistered mail, etc. as a postal item requiring no forwarding, etc.(i) Having its employees visit the residence or the residence of the representative

person, etc. indicated in the said identification document or a copy thereof and deliverthe documents pertaining to the transaction to the said representative person, etc.(excluding the case prescribed in the following item)(ii) Having its employees visit the residence of the representative person, etc.

indicated in the identification document or supplementary documents of the saidrepresentative person, etc., or copies thereof and deliver the documents pertaining tothe transaction to the said representative person, etc. (limited to the case where theplace of current residence of the said representative person, etc. has been verified usingthe said identification document or supplementary documents, or copies thereofpursuant to the provisions of Article 5, paragraph 2 as applied mutatis mutandispursuant to paragraph 1)(iii) Having its employees visit the place that is deemed to be the head office, etc. or a

business office of the said customer, etc. indicated in the identification document orsupplementary documents of the said customer, etc. pertaining to the saidrepresentative person, etc. or the said representative person, etc., or copies thereof or apublic agency to which the said representative person, etc. belongs and deliver thedocuments pertaining to the transaction to the said representative person, etc. (limitedto the case where the specified business operator has the said representative person,etc., present the said identification document or supplementary documents or send thesaid identification document or a copy thereof or the said supplementary documents orcopies thereof and attaches the said identification document or a copy thereof (includinga copy made by the specified business operator) or the said supplementary documents orcopies thereof (including copies made by the specified business operator) to theverification records by the method listed in Article 16, paragraph 1, item (ii))

23

(4) In the cases listed in the following items, the term representative person, etc. setforth in paragraph 1 shall refer to the representative person, etc. who is deemed to becarrying out a specified transaction, etc. for the said customer, etc. by falling under therespective items.(i) In the case where the customer, etc. is a natural person: by falling under any of thefollowing:(a) The said representative person, etc. is a relative living together or a statutory agentof the said customer, etc.(b) The said representative person, etc. has the power of attorney prepared by the saidcustomer, etc. or any other document proving that the said representative person, etc. iscarrying out the said specified transaction, etc. for the said customer, etc.(c) The fact that the said representative person, etc. is carrying out the said specifiedtransaction, etc. for the said customer, etc. can be verified by calling the said customer,etc. or by any other method similar thereto.(d) In addition to what are listed in (a) to (c), it is clear that the said representativeperson, etc. is carrying out the said specified transaction, etc. for the said customer, etc.due to the knowledge of the specified business operator (for transactions listed in Article13, paragraph 1, item (i) of the Order, another specified business operator prescribed inthe same item; the same shall apply in (e) of the following item and Article 14,paragraph 2) about the relationship between the said customer, etc. and the saidrepresentative person, etc. or any other reasons.(ii) In the cases other than the case listed in the preceding item (excluding the casewhere the customer, etc. is an association or a foundation without juridical personality):by falling under any of the following:(a) What is listed in (b) of the preceding item(b) The said representative person, etc. has a certificate of identification issued by thesaid customer, etc. or any other document indicating that he/she is an employee of thesaid customer, etc. (limited to a document indicating the name of the saidrepresentative person, etc.).(c) The said representative person, etc. is registered as an officer of the said customer,etc.(d) It can be verified that the said representative person, etc. is carrying out the saidspecified transaction, etc. for the said customer, etc. by calling the head office, etc. or abusiness office of the said customer, etc. or a public agency to which the saidrepresentative person, etc. is deemed to belong or any other method similar thereto.(e) In addition to what are listed in (a) to (d), it is clear that the said representative

24

person, etc. is carrying out the said specified transaction, etc. for the said customer, etc.due to the knowledge of the specified business operator about the relationship betweenthe said customer, etc. and the said representative person, etc. or any other reasons.

Article 12 (Special Provisions Concerning Methods of Verification to Be ConductedWhen Carrying Out a Transaction Prescribed in Article 4, Paragraph 1 of the Act)(1) Notwithstanding the provisions of Article 5, Article 8, Article 9, Article 10,paragraph 1 and the preceding Article, a specified business operator may conduct theverification pursuant to the provisions of Article 4, paragraph 1 (including the caseswhere it is applied mutatis mutandis pursuant to paragraph 5 of the same Article) orparagraph 4 (limited to the portion related to paragraph 1 of the same Article) by any ofthe methods listed in the following items; provided, however, that this does not applywhen a specified business operator carries out a transaction in which a transactionpartner is suspected of disguising himself/herself as the customer, etc. or representativeperson, etc. pertaining to the verification at the time of transaction prescribed in therespective items or verification equivalent thereto or a transaction with a customer, etc.or representative person, etc. who is suspected to have presented false informationpertaining to the said verification at the time of transaction or verification equivalentthereto on the occasion of the said verification at the time of transaction or verificationequivalent thereto (including a customer, etc. or representative person, etc. whoserepresentative person, etc. is suspected to have presented such false information).(i) As for a transaction listed in Article 7, paragraph 1, item (i), (c) to (o) and (r) of theOrder and a transaction prescribed in item (ii) and item (iii) of the same paragraph forwhich settlement is made by an account transfer via a specific deposit or savingsaccount, verifying that another specified business operator with whom the said accounthas been opened has conducted verification at the time of transaction for the saidcustomer, etc. or representative person, etc. on the occasion of carrying out atransaction listed in item (i), (a) of the same paragraph pertaining to the said deposit orsavings account, and has been preserving the verification records pertaining to the saidverification at the time of transaction (limited to the case where the specified businessoperator who intends to use this method has agreed with the said other specifiedbusiness operator in advance to use this method)(ii) As for a transaction listed in Article 7, paragraph 1, item (i), (c) to (o) and (r) of theOrder and a transaction prescribed in item (ii) and item (iii) of the same paragraph forwhich settlement is made using a credit card, etc. prescribed in Article 2, paragraph 2,item xxxviii) of the Act, verifying that another specified business operator who issued or

25

granted the said credit card, etc. has conducted verification at the time of transaction(excluding verification at the time of transaction using the method listed in thepreceding item) for the said customer, etc. or representative person, etc. thereof on theoccasion of carrying out a transaction listed in Article 7, paragraph 1, item (iii) of theOrder pertaining to the said credit card, etc., and has been preserving the verificationrecords pertaining to the said verification at the time of transaction (limited to the casewhere the specified business operator who intends to use this method has agreed withthe said other specified business operator in advance to use this method)(iii) As for the customer, etc. or representative person, etc. for whom the said specifiedbusiness operator has conducted verification (limited to the verification in the caseswhere the specified business operator has prepared and preserved records equivalent tothe verification records for the said verification) equivalent to that pursuant to Article 4,paragraph 1 (including the cases where it is applied by replacing certain termspursuant to the provisions of paragraph 5 of the same Article) and paragraph 4 (limitedto the portion related to paragraph 1 of the same Article) of the Act, verifying that thesaid verifications has already been conducted by the method equivalent to the methodprescribed in Article 14 and preserving the said record as verification records(2) The provisions of paragraph 4 of the preceding Article shall apply mutatis mutandisin the case where verification of customer identification data of a representative person,etc. is conducted by the methods listed in the items of the preceding paragraph.

Article 13 (Methods of Verification to Be Conducted On the Occasion of Carrying Out aTransaction for Which Strict Customer Due Diligence is Deemed ParticularlyNecessary)(1) The methods of verification of customer identification data of the customer, etc. orrepresentative person, etc. pursuant to the provisions of Article 4, paragraph 2 of theAct (including the cases where it is applied by replacing certain terms pursuant toparagraph 5 of the same Article) or paragraph 4 of the same Article (limited to theportion related to paragraph 2 of the same Article) shall be the following methods. Inthis case, if such verification (excluding the verification using the method listed in item(i) which falls under the method listed in item (ii), (b) (excluding the case where theverification at the time of relevant transaction has been conducted on the occasion ofcarrying out a transaction prescribed in the same paragraph and the method listed initem (i) falls under the method listed in item (ii), (b))) is conducted on the occasion ofcarrying out a transaction listed in paragraph 2, item (i) of the same Article, at least oneof the identification document or supplementary documents, or copies thereof other

26

than the identification document (including the identification document using a copythereof) and the supplementary documents (including the supplementary documentsusing copies thereof) used for the verification at the time of relevant transaction shall beused.(i) The method prescribed in Article 5 or Article 11(ii) According to the categories of methods listed in the following (a) or (b) as specified inthe preceding item, the method specified in the respective (a) or (b)(a) The methods listed in Article 5, paragraph 1, item (i), (a) to (d) (including the caseswhere these provisions are applied mutatis mutandis pursuant to Article 11, paragraph1), item (ii) and item (iii), (a) and (b): having the said customer, etc. or representativeperson, etc. present the identification document (excluding the identification documentused in the said method (including the identification document using a copy thereof)) orsupplementary documents (excluding the supplementary documents used in the saidmethod (including the supplementary documents using copies thereof)) of the saidcustomer, etc., or representative person, etc. indicating the residence or the location ofthe head office or a principal office of the said customer, etc. or representative person,etc., or send the said identification document or a copy thereof or the saidsupplementary documents or copies thereof, and attaching the said identificationdocument or a copy thereof (including a copy made by the specified business operator) orthe said supplementary documents or copies thereof (including copies made by thespecified business operator) to the verification records by the method listed in Article 16,paragraph 1, item (ii)(b) The methods listed in Article 5, paragraph 1, item (i), (e) to (g) (including the caseswhere these provisions are applied mutatis mutandis pursuant to Article 11, paragraph1) and item (iii), (c): having the said customer, etc. or representative person, etc. presentthe identification document of the said customer, etc., or representative person, etc. orsend the said identification document or a copy thereof, and attaching the saididentification document or a copy thereof (including a copy made by the specifiedbusiness operator) to the verification records by the method listed in Article 16,paragraph 1, item (ii) (if the said identification document or a copy thereof does notindicate the current residence or current location of the head office or principal office ofthe said customer, etc. or representative person, etc., in addition to the said method,having the said customer, etc. or representative person, etc. present the supplementarydocuments of the said customer, etc. or representative person, etc. with such indicationor send the said supplementary documents or copies thereof and attaching the saidsupplementary documents or copies thereof (including copies made by the specified

27

business operator) to the verification records by the method listed in the same item)(2) The methods of verification as prescribed in Article 4, paragraph 2 of the Act(including the cases where it is applied by replacing certain terms pursuant toparagraph 5 of the same Article) of the matters listed in paragraph 1, item (ii) and item(iii) of the same Article shall be the methods prescribed in Article 8 and Article 9.(3) The methods of verification as prescribed in Article 4, paragraph 2 of the Act of thematters listed in paragraph 1, item (iv) of the same Article shall, according to thecategories of juridical person listed in the following items, be verifying the documentsspecified in the respective items or copies thereof and, if the juridical person listed inthe respective item has a beneficial owner, the identification document of the saidbeneficial owner or a copy thereof (if the current residence or current location of thehead office or principal office of the said beneficial owner is not indicated in the saididentification document or a copy thereof, the said identification document or a copythereof and the supplemental documents of the said beneficial owner with suchindication or copies thereof)(i) A juridical person listed in Article 10, paragraph 2, item (i): the shareholder registry,securities report prescribed in Article 24, paragraph 1 of the Financial Instruments andExchange Act or any other document similar thereto indicating the status of holding ofthe voting rights of the said juridical person(ii) A juridical person listed in Article 10, paragraph 2, item (ii): any of the followingdocuments (in the case of documents for which a valid period or expiration date is set,limited to those which are valid as of the day on which they are verified by the specifiedbusiness operator, and in the case of other documents, limited to those prepared notmore than six months before the day on which they are verified by the specifiedbusiness operator)

(a) A certificate of the registered matters concerning the registration of theestablishment of the said juridical person (in the case where the said juridical personhas not yet registered its establishment, a document prepared by the head of theadministrative organ having jurisdiction over the said juridical person proving thepersons who have the authority to represent the said juridical person)

(b) In addition to what is listed in (a), a document issued by a public agency or anyother document similar thereto proving the persons who have the authority to representthe said juridical person

(c) As for a juridical person having its head office or principal office in a foreignstate, in addition to what are listed in (a) and (b), a document issued by a foreigngovernment recognized by the Japanese government or issued by an authorized

28

international organization or any other document similar thereto proving the personswho have the authority to represent the said juridical person(4) The methods of verification of the status of assets and income pursuant to theprovisions of Article 4, paragraph 2 of the Act shall, according to the categories of thecustomer, etc. listed in the following items, be verifying one or more of the documentsspecified in the respective items or copies thereof.(i) A customer, etc. who is a natural person: the following documents:(a) A withholding record (which means a withholding recorded prescribed in Article 226,paragraph 1 of the Income Tax Act)(b) A final return form(c) A deposit/savings passbook(d) In addition to what are listed in (a) to (c), a document similar thereto indicating thestatus of assets and income of the said customer, etc.(e) What are listed in (a) to (d) pertaining to a spouse (including a person who is in a defacto marital relationship with the said customer, etc., though a marriage has not beenregistered) of the said customer, etc.(ii) A customer, etc. who is a juridical person: the following documents:(a) A balance sheet(b) A profit and loss statement(c) In addition to what are listed in (a) and (b), a document similar thereto indicatingthe status of assets and income of the said juridical person

Article 14 (Methods for Verifying Previous Verification at the Time of Transaction forCustomer, etc.)(1) The methods specified by an ordinance of the competent ministries as prescribed inArticle 13, paragraph 2 of the Order shall be the methods listed in any of the followingitems for verifying that the customer, etc. (in the case where the customer, etc. is theState, etc., its representative person, etc. or the said State, etc. (excluding anassociation or a foundation without juridical personality); hereinafter the same shallapply in this Article) is identical to the customer, etc. recorded in the verificationrecords and recording the matters listed in item (i) to item (iii) of Article 21 pertainingto the transaction for which the said verification is conducted and having it preservedfor 7 years from the day on which the said transaction is carried out.(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 thecustomer, etc. recorded in the verification records

29

(ii) Having the customer, etc. give information about any matters that cannot beknown by any person other than the customer, etc. or any other matters that show thatthe customer, etc. is identical to the customer, etc. recorded in the verification records(2) Notwithstanding the provisions of the preceding paragraph, in the case where aspecified business operator has a previous acquaintance with the customer, etc. orrepresentative person, etc. or in any other case where it is obvious that the customer,etc. is identical to the customer, etc. recorded in the verification records, the specifiedbusiness operator may deem that it has verified that the said customer, etc. is identicalto the customer, etc. recorded in the verification records.Article 15 (Persons Equivalent to the State, etc.)The person specified by an ordinance of the competent ministries as prescribed inarticle 14, item (vi) 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 7, paragraph 1, item (i),

(a) or (b) of the Order in which money deducted from salaries, etc. of employees shall betreated as deposits or savings or installment savings, etc. prescribed in (b) of the sameitem(vii) Employees who conclude a trust contract listed in Article 3, 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 7, paragraph 1,

item (i) of the Order in which money deducted from the salaries, etc. of employees shallbe treated as the value for the said act(x) Employees who conclude a contract prescribed in (n) of Article 7, paragraph 1,

item (i) of the Order in which the repayment shall be made with money deducted fromthe 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 theCommissioner of the Financial Services Agency) where the buying and selling ofsecurities is carried out

Article 16 (Methods for Preparing Verification Records)

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The method specified by an ordinance of the competent ministries as prescribed inArticle 6, paragraph 1 of the Act shall be the following:(i) Preparing verification records in the form of a written document, an

electromagnetic record (which means a record made in an electronic form, a magneticform, or any other form not recognizable to human perception, which is used ininformation processing by computers; the same shall apply hereinafter) or microfilm(ii) Attaching what are specified in (a) to (e) below (hereinafter referred to as

�reference materials�) to the verification records in the form of a written document, anelectromagnetic record or microfilm (in the case of (b), limited to an electromagneticrecord), according to categories listed in (a) to (e):

(a) In the case where the verification of customer identification data has beenconducted by any of the methods listed in Article 5, paragraph 1, item (i), (c) (includingthe cases where it is applied mutatis mutandis pursuant to Article 11, paragraph 1) oritem (iii), (b): the said identification document or a copy thereof

(b) In the case where the verification of customer identification data has beenconducted by any of the methods listed in Article 5, paragraph 1, item (i), (e) to (g)(including the cases where it is applied mutatis mutandis pursuant to Article 11,paragraph 1) or item (iii), (c): an electromagnetic record that sufficiently proves that theverification of customer identification data has been conducted by the said method

(c) In the case where the current residence of the customer, etc. or representativeperson, etc. or the current location of his/her head office or principal office has beenverified by way of receiving the identification document or supplementary documentspursuant to the provisions of Article 5, paragraph 2 (including the cases where it isapplied mutatis mutandis pursuant to Article 11, paragraph 1): the said identificationdocument or supplementary documents, or copies thereof

(d) In the case where the documents pertaining to the transaction have been sentpursuant to the provisions of Article 5, paragraph 3 or Article 11, paragraph 2 to theplace prescribed in the respective paragraph or the documents pertaining to thetransaction have been delivered by visiting the place prescribed in Article 5, paragraph4, item (iii) or Article 11, paragraph 3, item (iii) pursuant to the provisions of Article 5,paragraph 4 or Article 11, paragraph 3, upon receiving the identification document orsupplementary documents, or copies thereof: the said identification document orsupplementary documents, or copies thereof

(e) In the case where the customer identification data has been verified by themethod listed in Article 13, paragraph 1, item (ii) by way of receiving the identificationdocument or supplementary documents, or copies thereof: the said identification

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document or supplementary documents, or copies thereof(2) The reference materials attached to the verification records by the methods

listed in item (ii) of the preceding paragraph shall be deemed to be a part of the saidverification records.

Article 17 (Matters to be Recorded in Verification Records)The matters specified by an ordinance of the competent ministries as prescribed in

Article 6, paragraph 1 of the Act shall be the following:(i) The name and other matters sufficient for identifying the person who conducted

the verification at the time of transaction(ii) The name and other matters sufficient for identifying the person who prepared the

verification records(iii) When having had the identification document presented for conducting the

verification of identification data of a customer, etc. or representative person, etc.(excluding the case where the identification document has been presented by themethod listed in Article 13, paragraph 1, item (ii)), the date and time on which it waspresented (when having had presented the document and attach the copy thereof in theverification records, and have it preserved with the verification records for 7 years fromthe day specified in paragraph 1 of the following Article, only the date.)(iv) When having had the identification document or a copy thereof sent for

conducting the verification of customer identification data of a customer, etc. orrepresentative person, etc. (excluding the case where the identification document or acopy thereof has been sent by the method listed in Article 13, paragraph 1, item (ii)), thedate on which it was sent or received(v) In the case where the verification of customer identification data of a customer, etc.

or representative person, etc. has been conducted by any of the methods listed in Article5, paragraph 1, item (i), (b) to (d) (including the cases where these provisions are appliedmutatis mutandis pursuant to Article 11, paragraph 1) or item (iii), (b), the date onwhich the specified business operator sent the documents pertaining to the transaction(vi) In the case where the verification of customer identification data of a customer,

etc. or representative person, etc. has been conducted pursuant to Article 5, paragraph 4or Article 11, paragraph 3, the date on which the delivery prescribed in the respectiveparagraph was made(vii) In the case where having the identification document or supplementary

documents presented by the method listed in Article 13, paragraph 1, item (ii) or havingthe identification document or a copy thereof or the supplementary documents or copies

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thereof sent, the date on which it was presented or sent(viii) In the case where the verification of the matters or the status of assets and

income listed in Article 4, paragraph 1, item (ii) to item (iv) of the Act has beenconducted, the date on which the verification was conducted according to the matter forwhich the verification was conducted(ix) The type of the transaction for which the verification at the time of transaction

has been conducted(x) The method by which the verification of customer identification data of a customer,

etc. or representative person, etc. has been conducted(xi) When having had the identification document or supplementary documents

presented for conducting the verification of customer identification data of a customer,etc. or representative person, etc., the name of the said identification document orsupplementary documents, the mark or number attached thereto and any other matterssufficient for identifying the said identification document or supplementary documents(xii) In the case where the current residence of the customer, etc. or representative

person, etc. or the current location of his/her head office or principal office has beenverified upon having the identification document or supplementary documentspresented pursuant to Article 5, paragraph 2 (including the cases where it is appliedmutatis mutandis pursuant to Article 11, paragraph 1), the name of the saididentification document or supplementary documents, the mark or number attachedthereto and any other matters sufficient for identifying the said identification documentor supplementary documents(xiii) In the case where the documents pertaining to the transaction has been sent

pursuant to the provisions of Article 5, paragraph 3 or Article 11, paragraph 2 to theplace prescribed in the respective paragraph or the documents pertaining to thetransaction has been delivered pursuant to the provisions of Article 5, paragraph 4 orArticle 11, paragraph 3 by visiting the place prescribed in Article 5, paragraph 4, item(iii) or Article 11, paragraph 3, item (iii), upon having the identification document orsupplementary documents presented, the name of the business office, its location orother matters sufficient for identifying the said place, the name of the said identificationdocument or supplementary documents, the mark or number attached thereto andother matters sufficient for identifying the said identification document orsupplementary documents(xiv) Customer identification data of the customer, etc. (in the case where the

customer, etc. is the State, etc., the name and location of the said State, etc. and othermatters sufficient for identifying the said State, etc.)

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(xv) In the case of a transaction carried out by a representative person, etc., thecustomer identification data of the said representative person, etc., the relationshipbetween the said representative person, etc. and the customer, etc. and the reason fordeeming that the said representative person, etc. is carrying out the specifiedtransaction, etc. for the customer, etc.(xvi) The purpose for the customer, etc. (excluding the State, etc. (excluding an

associations or a foundation without juridical personality); the same shall apply in thefollowing item) to carry out the transaction(xvii) In the case where the occupation or contents of business of the customer, etc.

and the customer, etc. is a juridical person, the method by which the verification ofcontents of business has been conducted, the name of the document and other matterssufficient for identifying the said document(xviii) In the case where the customer, etc. (excluding the State, etc.) is a juridical

person, whether or not there exists a beneficial owner, the method by which theverification thereof has been conducted, the name of the document and other matterssufficient for identifying the said document(xix) In the case where there exists a beneficial owner, the customer identification

data of the said beneficial owner, the method by which the verification thereof has beenconducted, the names of identification document and supplementary documents, marksor numbers attached thereto and any other matters sufficient for identifying the saididentification document and supplementary documents(xx)In the case where the verification of the status of assets and income has been

conducted, the method by which such verification has been conducted, the name of thedocument and other matters sufficient for identifying the said document(xxi) In the case where the customer, etc. uses a name that is different from his/her

name for the transaction, such different name as well as the reason why the customer,etc. uses the name that is different from his/her name(xxii) The account number and other matters to be used for the purpose of searching

transaction records, etc.(xxiii) In the case where the verification has been conducted on the occasion of

carrying out a transaction listed in Article 4, paragraph 2, item (i) of the Act, the date onwhich the said verification at the time of relevant transaction for the purpose ofsearching verification records pertaining to the verification at the time of relevanttransaction and other matters(xxiv) In the case where the period of stay has been verified pursuant to Article 7,

paragraph 2, the name, date, and number of the seal of verification for landing, etc. or

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other matters sufficient for identifying the said seal of verification for landing, etc.(2) A specified business operator, when attaching reference materials to theverification records, or when attaching a copy of the customer identification data inaccordance with item (iii) of the previous paragraph, may not record the matters listedin the said paragraph which are indicated in the said reference materials or the saidcopy in the verification records, notwithstanding the provisions of the same paragraph.(3) A specified business operator shall, when having become aware of a change oraddition to any of the matters listed in paragraph 1, items (xiv) to (xix) and items (xxi)to (xxiii), attach a supplementary note of the content of the change or addition to theverification records, and shall not delete the content (excluding the content of anyprevious change or addition) already recorded or indicated in the verification records ora copy of identification document or reference materials attached pursuant to theprovisions of item (iii) of the same paragraph. In this case, the specified businessoperator may, instead of attaching a supplementary note to the verification records,prepare a record reflecting the change or addition separately and preserve such recordtogether with the verification records.

Article 18 (Starting Day of Period for Preserving Verification Records)(1) The date specified by an ordinance of the competent ministries as prescribed inArticle 6, paragraph 2 of the Act shall be the date of the termination of a transaction orthe date of the termination of a transaction pertaining to a transaction for whichverification at the time of transaction has been completed, whichever comes later.(2) The �date of the termination of a transaction� prescribed in the precedingparagraph shall, according to the categories of the specified transactions, etc. for whichverification records have been prepared listed in the following items, be the dayspecified in the respective items:(i) Transactions listed in Article 7, paragraph 1, item (i), (a) to (f), (h) to (j), (k)

(excluding contracts for acting as an intermediary or agent), (m) (excluding agent orintermediary work), or (n) (excluding intermediary work) or (r) to (v) of the Order,transactions specified in item (ii), (iii), (v) or (vi) of the same paragraph, or transactionsspecified in Article 9 of the Order: the day on which a contract pertaining to the saidtransaction was terminated(ii) Transactions other than the transactions listed in the preceding item: the day on

which the said transaction was carried out(3) The �the date of the termination of a transaction pertaining to a transaction forwhich verification at the time of transaction has been completed� prescribed in

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paragraph 1, with regard to a transaction for which the provisions of Article 4,paragraph 1 of the Act are made inapplicable by the provisions of paragraph 3 of thesame Article , shall be the day specified in the preceding paragraph in the case wherethe provisions of the preceding paragraph are applied by replacing the term �specifiedtransactions, etc. for which verification records have been prepared� in the sameparagraph with �specified transactions, etc. with a customer, etc. for which verificationat the time of transaction has been completed�

Article 19 (Transactions Excluded from the Scope of Transactions Subject to Obligationto Prepare and Preserve Transaction Records)(1) The transactions specified by an ordinance of the competent ministries asprescribed in Article 15, paragraph 1, item (iv) of the Order shall be the following:(i) Transactions carried out between a customer, etc. and another specified business

operator via an automated teller machine or any other machine equivalent thereto(excluding the refund of deposits or savings without cash payments for exchangetransactions carried out by the said other specified business operator)(ii) Transactions for receiving periodically a fixed amount of insurance premiums or

mutual aid premiums under an insurance contract or a contract for mutual aid(iii) The selling of a lottery voucher prescribed in Article 2, paragraph 1 of the Lottery

Voucher Act (Act No. 144 of 1948) or a sports promotion voting ticket prescribed inArticle 2 of the Act on Implementation, etc. of the Sports Promotion Voting (Act No. 63of 1998) and the provision of the prize money or goods for the lottery voucher or therefund for the sports promotion voting ticket which amounts to not more than twomillion yen(iv) The buying and selling of precious metals, etc. prescribed in Article 2, paragraph

2, item (xl) of the Act which amounts to more than two million yen and for which thepayment is made through methods other than by cash(v) Transactions pertaining to the business affairs prescribed in Article 2, paragraph

2, item (xli) of the Act which pertain to those other than a business of receiving anddelivering postal items with regard to cash(2) The agent work, etc. for specified mandated acts specified by an ordinance of thecompetent ministries as prescribed in Article 15, paragraph 2, item (ii) of the Ordershall be the agent work, etc. for specified mandated acts carried out as the affairs to becarried out by a voluntary guardian prescribed in Article 2, item (iv) of the Act onvoluntary Guardianship Contract.

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Article 20 (Method for Preparing Transaction Records, etc.)The method specified by an ordinance of the competent ministries as prescribed inArticle 7, paragraph 1 and paragraph 2 of the Act shall be to prepare records in the formof a written document, electromagnetic record or microfilm.

Article 21 (Matters to be Recorded in Transaction Records, etc.)The matters specified by an ordinance of the competent ministries as prescribed inArticle 7, paragraph 1 and paragraph 2 of the Act shall be the following:(i) The account number and other matters to be used for the purpose of searching

verification records, etc. of the customer, etc. (in the case where there are no verificationrecords, the name or other matters sufficient for identifying the customer, etc., thetransaction, or the agent work, etc. for specified mandated acts)(ii) The date of the transaction or the agent work, etc. for specified mandated acts(iii) The type of the transaction or the agent work, etc. for specified mandated acts(iv) The value of the property pertaining to the transaction or the agent work, etc. for

specified mandated acts(v) In the case of transactions or the agent work, etc. for specified mandated acts

which accompany the transfer of property (which means transfer of property prescribedin Article 15, paragraph 1, item (i) of the Order), matters sufficient for identifying thesaid transactions, and matters sufficient for identifying the original possessor or thedestination such as the name of the original possessor or destination pertaining to thesaid transactions or the agent work, etc. for specified mandated acts and the saidtransfer of property (in the case where the transaction or the agent work, etc. forspecified mandated acts carried out by the said specified business operator is only a partof the transaction, acts, or procedures pertaining to the transfer of the property, thefirst possessor or the last destination within the limits of his/her knowledge obtainedthrough such procedures; hereinafter the same shall apply in this Article).(vi) In addition to what is listed in the preceding items, in the case where an exchange

transaction (excluding those pertaining to the payment from Japan to a foreign countryor the payment from a foreign country to Japan) carried out with a customer, etc.accompanies a funds settlement between the specified financial institution engaged inthe said transaction and the specified financial institution pertaining to the originalpossessor or the destination of the property (hereinafter referred to as �anotherspecified financial institution� in this item) and the information pertaining to the saidtransaction is exchanged between the specified financial institution pertaining to thecustomer engaged in the said transaction and the said other specified financial

37

institution by using an electromagnetic method (which means the method using anelectronic data processing system or other types of information processing technology),the matters sufficient for conducting any of the acts specified in (a) or (b) belowaccording to the categories listed respectively in (a) or (b) below:

(a) In the case of transactions accompanying the payment of funds to anotherspecified financial institution: when another specified financial institution requests theverification of a customer pertaining to the transaction based on the transaction records,etc. preserved by the said other specified financial institution, the act of identifying thesaid transaction and searching the verification records of the said customer within threebusiness days from the day of the said request (in the case where there are noverification records, the act of identifying the said transactions and the name and othermatters concerning the said customer within three business days from the day of thesaid request)

(b) In the case of transactions accompanying the receipt of funds from anotherspecified financial institution: the act of searching information pertaining to thetransaction exchanged with another specified financial institution(vii) In addition to what is listed in items (i) to (v), in the case listed in (a) to (c) below,

the matters specified respectively in (a) to (c) below:(a) In the case where the specified financial institution makes a notification to

another specified financial institution or an exchange dealer residing in a foreigncountry (which means an exchange dealer residing in a foreign country prescribed inArticle 9, paragraph 1 of the Act; the same shall apply hereinafter) pursuant to thesame paragraph: the matters on which the specified business operator has made thesaid notification

(b) In the case where the specified financial institution has received a notificationfrom an exchange dealer residing in a foreign country pursuant to the provisions offoreign laws and regulations equivalent to those of Article 9 of the Act, and has acceptedthe entrustment or re-entrustment of a payment from a foreign country to Japan andwill not re-entrust the said payment to another specified financial institution or anexchange dealer residing in a foreign country: the matters on which the specifiedbusiness operator has received the said notification

(c) In the case where the specified financial institution has received a notificationfrom another specified financial institution pursuant to Article 9, paragraph 3 orparagraph 4 of the Act, and has accepted the entrustment or re-entrustment of apayment from a foreign country to Japan and will not re-entrust the said payment toanother specified financial institution or an exchange dealer residing in a foreign

38

country: the matters on which the specified financial institution has received the saidnotification

Article 22 (Forms, etc. for Reports)(1) A specified business operator who intends to make a report pursuant to Article 16,paragraph 1 of the Order shall submit written reports in appended forms 1 to 3 to theadministrative agency.(2) The written reports set forth in the preceding paragraph may be submitted in theform of an electromagnetic recording media (which means a recording media pertainingto electromagnetic records) recording matters to be indicated in the said written reportsalong with an electromagnetic recording media submission card in appended form 4.

Article 23 (Methods for Foreign Exchange Transactions Not Subject to the Obligation ofNotification)The methods specified by an ordinance of the competent ministries as prescribed inArticle 17 of the Order shall be through the use of ordinary postal money orders, callingpostal money orders, and disbursed postal money orders prescribed in Article 2,paragraph 1 of the International Postal Money Order Rule (Ordinance of the Ministry ofInternal Affairs and Communications No. 10 of 2003) prior to the repeal under Article 2,of the Supplementary Provisions of the Ordinance for Partial Revision of the PublicOffice Election Postal Rules (Ordinance of the Ministry of Internal Affairs andCommunications No. 113 of 2007) which are deemed to remain effective under Article 5,paragraph 3 of the Supplementary Provisions of the same Ordinance.

Article 24 (Matters to be Notified by a Specified Business Operator)(1) The matters specified by an ordinance of the competent ministries as prescribed inArticle 9, paragraph 1 of the Act shall, according to the categories listed in the followingitems, be the matters specified in the respective items:(i) A natural person: the following matters:(a) His/her name(b) His/her address or the matters listed in Article 17, paragraph 1, item (xi) or

his/her customer identification number (which means the mark or number which ismanaged by the specified business operator who carries out exchange transactionspertaining to the payment with the customer and which is sufficient for identifying thesaid customer; the same shall apply in (b) of the following item)

(c) The matters specified in 1. or 2. below, according to the categories listed in 1. or

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2. below:1. When deposit/savings accounts are used: the number of the said account2. When deposit/savings accounts are not used: the transaction reference number

(which means the mark or number which is sufficient for the specified business operatorwho carries out exchange transactions pertaining to the payment with the customer toidentify the said transaction)(ii) A juridical person: the following matters:(a) The name(b) The location of the head office or principal office or the customer identification

number(c) The matters listed in (c) of the preceding item

(2) The matters specified by an ordinance of the competent ministries as prescribed inArticle 9, paragraphs 3 and 4 of the Act shall be the matters equivalent to thoseprescribed in the preceding paragraph.

Article 25 (Establishment of Systems by Specified Financial Institution)A specified financial institution shall, in carrying out exchange transactions uponconclusion of an entrustment contract or a brokerage contract with an exchange dealerresiding in a foreign country, collect information concerning the status of establishmentof a system for prevention of transfer of criminal proceeds implemented by the saidexchange dealer residing in a foreign county, the actual condition of business of the saidexchange dealer residing in a foreign country and the actual condition of supervision ofthe said exchange dealer residing in a foreign country by the foreign authority whoexecutes foreign laws and regulations equivalent to the Act, and endeavor to establish asystem to evaluate the foregoing, internal regulations setting forth review proceduresfor the conclusion of said contracts and other necessary systems.

Article 26 (Forms, etc. for Certificate of Identification)(1) The certificate of identification to be carried by an official who conducts an on-siteinspection pursuant to Article 15, paragraph 1 or Article 18, paragraph 3 of the Act(hereinafter such certificate shall be referred to as a �certificate of identification� in thefollowing paragraph) shall use appended form 5; provided, however, that this shall notapply to those listed in the following items:(i) A certificate to be carried by officials of the Financial Services Agency, Securities

and Exchange Surveillance Commission, Local Finance Bureau, or Fukuoka LocalFinance Branch Bureau on conducting an on-site inspection (excluding inspections

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under the authority of the Minister of Finance)(ii) A certificate to be carried by officials of the Ministry of Agriculture, Forestry, and

Fisheries on conducting an on-site inspection with regard to any of the specifiedbusiness operators listed in Article 2, paragraph 2, items (viii) to (xiv) or item (xx) of theAct(2) The issuer of certificates of identification shall be the competent agenciesprescribed in paragraphs 1 to 4 of the Article 21 of the Act, the Ministry of InternalAffairs and Communications, the Ministry of Justice, the Ministry of Finance, theMinister of Health, Labour and Welfare, the Ministry of Agriculture, Forestry, andFisheries, the Ministry of Economy, Trade and Industry, the Director-General of aninternal subdivision (limited to subdivision charged with the affairs of the said on-siteinspection prescribed in Article 15, paragraph 1 of the Act) of the Ministry of Land,Infrastructure and Transport, the Director-General of an external subdivision or theDirector of a regional bureau to which the authority of the said on-site inspection hasbeen delegated, the prefectural governor, the Superintendent-General or theCommissioner of the Prefectural Police Headquarters.

Article 27 (Consultation Concerning On-site Inspections)(1) A request for consultation (which means a consultation prescribed in Article 18,paragraph 5 of the Act; hereinafter the same shall apply in this Article) shall be madewithin two weeks from the National Public Safety Commission issuing a notification setforth in Article 18, paragraph 4 of the Act.(2) In the case where the administrative agency is the prefectural governor, thematters pertaining to the request for consultation shall also be notified to the competentminister in writing or by way of telecommunications using a facsimile device.(3) The National Public Safety Commission and the administrative agency shallconduct the matters listed in the following items on the occasion of the consultation:(i) Information, materials or opinions shall be exchanged mutually(ii) When exercising the authority for on-site inspections and when requested to

conduct the inspection jointly by a partner of the consultation, the request shall beaccepted and arrangements shall be made with regard to the date and methods ofinspection(iii) In addition to what is listed in the preceding two items, arrangements shall be

made with regard to matters necessary for reducing the burdens of the specifiedbusiness operator, collecting materials for verifying the fact on a timely basis, andimplementing the on-site inspection in an efficient manner

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(4) The National Public Safety Commission and the administrative agency shall makearrangements within one month from the consultation being requested, except inunavoidable cases.

Article 28 (Conversion Rates for Transactions in Foreign Currency)The conversion between Japanese currency and a foreign currency or between differentforeign currencies under the Act, the Order and this Ordinance shall be made at thebasic exchange rate or the arbitrated exchange rate prescribed in Article 7, paragraph 1of the Foreign Exchange and Foreign Trade Act (Act No. 228 of 1949) as of the day onwhich the transaction or agent work, etc. for specified mandated acts requiring suchconversion of the amount under the relevant provision is carried out, except for thecategories of transactions listed in the following items in which the respective ratesshall apply.(i) Transactions pertaining to business affairs specified by a Cabinet Order as

prescribed in the row of persons listed in Article 2, paragraph 2, items (i) to (xxxvi) inthe appended table of the Act which accompany trading between Japanese currency anda foreign currency: the real exchange rate applied to said trading between Japanesecurrency and the foreign currency(ii) Currency exchange for trading Japanese currency and a foreign currency: the real

exchange rate applied to said trading between Japanese currency and the foreigncurrency

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Supplementary ProvisionsArticle 5For the purpose of the application of the provisions of this Order listed in the

left-hand column of the following table, for the time being, the terms and phrases listedin the middle column of the same table that appear in the respective provision shall bedeemed to be replaced with the corresponding term or phrase listed in the right-handcolumn of the same table.

Article 21, item (vi) technology) technology; the same shall applyhereinafter)

Article 21, item (vii), (a) Article 9, paragraph 1 Article 9same paragraph paragraph 1 of the same Articlematters matters (in the case where a

notification is given pursuant toparagraphs 2 to 4 of the sameArticle, limited to the matters notnotified pursuant to the portion ofArticle 24, paragraph 1 in bracketsexcluding listed matters in each itemor pursuant to the portion ofparagraph 2 of the same Article inbrackets)

Portion of Article 24,paragraph 1 excludinglisted matters in eachitem

matters matters (in the case where the saidmatters are notified byelectromagnetic means and a part ofthe said matters cannot be notifieddue to technical restrictions of thesaid means, excluding the mattersthat cannot be notified)

Article 24, paragraph 2 preceding paragraph preceding paragraph (in the casewhere the said matters are notifiedby electromagnetic means and a partof the said matters cannot benotified due to technical restrictionsof the said means, excluding thematters that cannot be notified)

1

Article 2 (Partial Revision of Ordinance on Utilization of Information and Communications Technology in

Reporting Suspicious Dealings)

The Ordinance on Utilization of Information and Communications Technology in Reporting Suspicious

Dealings (Ordinance of the Cabinet Office, the Ministry of Internal Affairs and Communications, the Ministry

of Justice, the Ministry of Finance, the Minister of Health, Labour and Welfare, the Ministry of Agriculture,

Forestry, and Fisheries, the Ministry of Economy, Trade and Industry and the Ministry of Land, Infrastructure

and Transport No. 2 of 2008) shall be partially revised as follows.

�Article 9, paragraph 1� in Article 2 shall be revised to �Article 8, paragraph 1.�

�Article 15, paragraph 1� in Articles 4 and 5 shall be revised to �Article 22, paragraph 1.�

Supplementary Provisions

Article 1 (Effective Date)

This Ordinance shall come into effect as from the day of enforcement of the Act for Partial Revision of the Act

on Prevention of Transfer of Criminal Proceeds (hereinafter referred to as the �Revised Act�) (April 1, 2013;

hereinafter referred to as the �Effective Date�), provided, however, that the provisions listed in the following

items shall come into effect as from the days prescribed in the respective items:

(i) The provisions in Article 1 (excluding the part revising �hereinafter referred to� to �simply referred to in

paragraph 1, item (iii), (b) of the following Article� and the part changing the sameArticle to Article 3)

revising Article 2 of the Ordinance for Enforcement of the Act on Prevention of Transfer of Criminal Proceeds

(hereinafter referred to as the "Ordinance"): The date of promulgation

(ii) In Article 1, the provisions revising Article 4, item (i), (e) of the Ordinance (limited to the parts revising �a

driver�s license� to �a driver�s license, etc. (which means a driver's license�, and adding �and a certificate of

driving record prescribed in Article 104-4, paragraph 5 of the said Act) after �the Road Traffic Act (Act No.

105 of 1960)�) and the provisions deleting Article 6 of the Supplementary Provisions of the Ordinance, and the

provisions of Article 5 of the Supplementary Provisions: April 1, 2012

(iii) In Article 1, the provisions revising Article 4, item (i), (b) of the Ordinance and the provisions revising (e)

of the same item (excluding the parts revising �a driver�s license� to �a driver�s license, etc. (which means a

driver's license�, and adding �and a certificate of driving record prescribed in Article 104-4, paragraph 5 of the

said Act) after �the Road Traffic Act (Act No. 105 of 1960)�) and the provisions of Article 4 of the

Supplementary Provisions: The date of enforcement of the Act for Partial Revision, etc. of the Immigration

Control and Refugee Recognition Act and the Special Act on the Immigration Control of, Inter Alia, Those

Who have Lost Japanese Nationality Pursuant to the Treaty of Peace with Japan (Act No. 79 of 2009; referred

to as the �Revised Immigration Control Act, etc.� in the sameArticle) (July 9, 2012)

2

Article 2 (Method for Verifying Previous Verification for Customer, etc.)

The provisions of Article 14 of the Ordinance after revision by the provisions of Article 1 (hereinafter referred

to as the �New Ordinance�) shall apply mutatis mutandis to the method specified by an ordinance of the

competent ministries as prescribed in Article 6, paragraph 2, Article 7, paragraph 2, Article 9, paragraph 2 and

Article 10, paragraph 2 of the Cabinet Order Concerning Rearrangement, etc. of Relevant Cabinet Orders

Upon Enforcement of the Act for the Partial Revision of the Act on Prevention of Transfer of Criminal

Proceeds and Transitional Measures (hereinafter referred to as the �Rearrangement Order�).

Article 3 (Transitional Measures for Transactions Unlikely to Be Used for Transfer of Criminal Proceeds)

With regard to the application of the provisions of Article 4, paragraph 1, item (vii) of the New Ordinance to

the transactions listed in Article 7, paragraph 1, item (i), (p) of the Order for Enforcement of the Act on

Prevention of Transfer of Criminal Proceeds after revision by the provisions of Article 1 of the Rearrangement

Order (referred to as the �New Order� in Article 6, paragraph 1 of the Supplementary Provisions) falling under

the transactions for receiving and paying cash which accompany an exchange transaction (limited to those

which are carried out for paying the charge for goods or rights or the consideration for services) in relation to

which measures equivalent to the customer identification (simply referred to as the �Customer Identification�

in Article 6, paragraph 1 of the Supplementary Provisions) similar to that applicable to a specified business

operator listed in Article 2, paragraph 2, item (i) to item (xv) and item (xxviii)-2 of the Act on Prevention of

Transfer of Criminal Proceeds prior to revision by the Revised Act (hereinafter referred to as the �Old Act� in

this Article), pursuant to the provisions of Article 4, paragraph 1 of the Old Act and preparation and

preservation of customer identification records (simply referred to as the �Customer Identification Records� in

Article 6, paragraph 1 of the Supplementary Provisions) prescribed in Article 6, paragraph 1 of the Old Act

have been taken prior to the Effective Date by the person receiving such payment for the customer, etc. (which

means a customer, etc. prescribed in Article 2, paragraph 3 of the Act on Prevention of Transfer of Criminal

Proceeds after revision by the Revised Act (hereinafter referred to as the �New Act�; the same shall apply

hereinafter) or representative person, etc. thereof (which means a representative person, etc. prescribed in

Article 4, paragraph 6 of the New Act; the same shall apply hereinafter) who makes such payment, the

provisions then in force shall remain applicable.

Article 4 (Transitional Measures Concerning a Copy of Alien Registration Card, etc.)

(1) With regard to the application of the provisions of Article 4 of the New Ordinance, a copy of alien

registration card and a certificate of registered matters on alien registration card (which means a document

prepared by the head of a local public entity to prove the registered matters on an alien registration card) shall

be deemed to be a document listed in item (i), (b) of the sameArticle, during the period until the day on which

six months have elapsed from the day of enforcement of the Revised Immigration Control Act, etc.

(2) With regard to the application of the provisions of Article 6 of the New Ordinance, a certificate of alien

registration held by a medium and long term resident (which means a medium and long term resident

prescribed in Article 19-3 of the Immigration Control and Refugee Recognition Act (Cabinet Order No. 319 of

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1951) after revision by the provisions of Article 2 of the Revised Immigration Control Act, etc.) or a certificate

of alien registration held by a special permanent resident (which means a special permanent resident prescribed

in the Special Act on the Immigration Control of, Inter Alia, Those Who have Lost Japanese Nationality

Pursuant to the Treaty of Peace with Japan (Act No. 71 of 1991) after revision by the provisions of Article 3 of

the Revised Immigration Control Act, etc.) shall be deemed to be a resident card or a certificate of special

permanent resident, respectively, prescribed in Article 6, item (i), (e) of the New Ordinance, during the period

prescribed in each item of Article 15, paragraph 2 of the Supplementary Provisions of the Revised Immigration

Control Act., etc. or the period prescribed in each item of Article 28, paragraph 2 of the Supplementary

Provisions of the Revised Immigration Control Act., etc.

(3) With regard to the application of the provisions of the preceding paragraph during the period until the day

before the Effective Date, the terms �Article 6 of the New Ordinance� in the same paragraph shall be deemed

to be replaced with the terms �Article 4 of the New Ordinance� and the terms �Article 6, item (i), (e) of the

New Ordinance� shall be deemed to be replaced with the terms �Article 4, item (i), (e) of the New Ordinance.�

Article 5 (Transitional Measures for Certificate of Driving Record)

(1) With regard to the application of the provisions of Article 6 of the New Ordinance to a certificate of driving

record prescribed in Article 104-4, paragraph 5 of the Road Traffic Act (Act No. 105 of 1960) issued prior to

April 1, 2012, the provisions then in force shall remain applicable.

(2) With regard to the application of the provisions of the preceding paragraph during a period until the day

before the Effective Date, the terms �Article 6 of the New Ordinance� in the same paragraph shall be deemed

to be replaced with the terms �Article 4 of the New Ordinance.�

Article 6 (Transitional Measures for Special Provisions Concerning Method of Verification to Be Conducted

When Carrying Out a Transaction Prescribed in Article 4, Paragraph 1of the NewAct)

(1) Notwithstanding the provisions of Article 5, Article 8, Article 9, Article 10, paragraph 1 and Article 11 of

the New Ordinance, a specified business operator (which means a specified business operator listed in Article 2,

paragraph 2, items (i) to (xxxviii) of the NewAct; the same shall apply hereinafter in this paragraph) may

conduct the verification pursuant to the provisions of Article 4, paragraph 1 of the NewAct (including the

cases where it is applied mutatis mutandis by replacing certain terms pursuant to paragraph 5 of the said

Article) or paragraph 4 (limited to the portion related to paragraph 1 of the said Article) to be conducted when

carrying out a transaction listed in Article 7, paragraph 1, item (i), (c) to (o) and (r) of the New Order and a

transaction prescribed in items (ii) and (iii) of the said paragraph, which is settled by the methods listed in the

following items (excluding the verification in the cases where the verification at the time of transaction (which

means verification at the time of transaction prescribed in paragraph 6 of the same Article) has already been

conducted for the said customer, etc. or representative person, etc. thereof on the occasion of carrying out

another transaction after the Effective Date by another specified business operator specified in the respective

items) by the methods specified in the respective items; provided, however, that, this shall apply only when the

specified business operator has agreed with the said other specified business operator in advance to use these

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methods and that this shall not apply when the specified business operator carries out a transaction in which a

transaction partner is suspected of disguising himself/herself as the customer, etc. or representative person, etc.

pertaining to the verification conducted by another specified business operator specified in the respective items

or a transaction with a customer, etc. or representative person, etc. who is suspected to have presented false

information pertaining to the said verification on the occasion of the said verification (including a customer,

etc. or representative person, etc. whose representative person, etc. is suspected to have presented such false

information).

(i) An account transfer via a specific deposit or savings account: according to the categories of verification

listed in (a) to (c) below which has been conducted by another specified business operator for whom the said

account has been opened for the said customer, etc. or representative person, etc. thereof on the occasion of

carrying out a transaction listed in Article 8, paragraph 1, item (i), (a) of the Order for Enforcement of the Act

on Prevention of Transfer of Criminal Proceeds prior to revision (referred to as �Old Order� in the following

item) by the provisions of Article 1 of the Rearrangement Order pertaining to the said account, the methods

specified in the said (a) to (c), respectively:

(a) Customer identification: verifying that the said other specified business operator has conducted the said

customer identification and has been preserving customer identification records related to the said customer

identification, and conducting verification of purpose, etc.

(b) Customer identification and verification equivalent to the verification pursuant to the provisions of Article

4, paragraph 1 (excluding the portion related to item (i) of the same paragraph) of the NewAct: verifying that

the said other specified business operator has conducted these verifications and has been preserving the

customer identification records and the records equivalent to the verification records prescribed in Article 6,

paragraph 1 of the NewAct (hereinafter referred to as �Equivalent Verification Records� in this paragraph)

related to these verifications.

(c) Verification equivalent to the verification pursuant to the provisions of Article 4, paragraph 1 of the New

Act (excluding the verification listed in (b)): verifying that the said other specified business operator has

conducted the said equivalent verification and has been preserving the Equivalent Verification Records related

to the said equivalent verification.

(ii) Use of a credit card, etc. prescribed in Article 2, paragraph 2, item (xxxviii) of the NewAct: according to

the categories of verification listed in (a) to (c) below which has been conducted by another specified business

operator who has issued or granted the said credit card, etc. for the said customer, etc. or representative person,

etc. thereof on the occasion of carrying out a transaction listed in Article 8, paragraph 1, item (iii), (a) of the

Old Order pertaining to the said credit card, etc., the methods specified in the said (a) to (c), respectively:

(a) Customer identification (excluding customer identification by the method prescribed in Article 3, paragraph

1, item (i), (h) of the Ordinance prior to revision by the provisions of Article 1; the same shall apply in (b)):

verifying that the said other specified business operator has conducted the said customer identification and has

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been preserving customer identification records related to the said customer identification, and conducting

verification of purpose, etc.

(b) Customer identification and verification equivalent to the verification pursuant to the provisions of Article

4, paragraph 1 (excluding the portion to item (i) of the same paragraph) of the New Act (excluding verification

by the method equivalent to the method prescribed in Article 12, paragraph 1, item (i) of the New Ordinance):

verifying that the said other specified business operator has conducted these verifications and has been

preserving the customer identification records and the Equivalent Verification Records related to these

verifications.

(c) Verification equivalent to the verification pursuant to the provisions of Article 4, paragraph 1 of the New

Act (excluding the verification by the method equivalent to the method prescribed in Article 12, paragraph 1,

item (i) of the New Ordinance and the verification listed in (b)): verifying that the said other specified business

operator has conducted the said equivalent verification and has been preserving the Equivalent Verification

Records related to the said equivalent verification.

(2) �Verification of purpose, etc.� prescribed in each item of the preceding paragraph shall mean the

verification at the occasion of carrying out a transaction with a customer, etc. (excluding the State, etc.

(excluding an association or foundation without legal personality) prescribed in Article 4, paragraph 5 of the

New Act) of the matters listed in paragraph 1, items (ii) to (iv) of the same Article by the methods prescribed

in Article 8, Article 9 and Article 10, paragraph 1 of the New Ordinance (in the case where the said customer,

etc. is an association or a foundation without legal personality, the methods prescribed in Article 8 and Article

9 of the New Ordinance for the matters listed in Article 4, paragraph 1, items (ii) and (iii) of the New Act).

(3) The provisions of Article 11, paragraph 4 of the New Ordinance shall apply mutatis mutandis in the case

where verification of customer identification data of a representative person, etc. is conducted by the methods

specified by each item of paragraph 1.

Article 7 (Method of Verification Pursuant to the Provisions of Article 4, Paragraph 1 of the NewAct Applied

Mutatis Mutandis by Replacing Certain Terms Pursuant to Article 2, Paragraph 1 or 2 of the Supplementary

Provisions of Revised Act)

The provisions of Article 8, Article 9, Article 10, paragraph 1, Article 11, Article 12 and the preceding Article

of the New Ordinance shall apply mutatis mutandis to the verification pursuant to the provisions of Article 4,

paragraph 1 of the NewAct applied mutatis mutandis by replacing certain terms pursuant to Article 2,

paragraph 1 or 2 of the Supplementary Provisions of the Revised Act.