[Notices]

○ Great East Japan Earthquake - Related Information

The FSA continues to provide “Great East Japan Earthquake - Related Information” via these contact points:

○ Use of “Prime Minister NODA's BLOG”

The Prime Minister's Office official blog “Prime Minister NODA's BLOG” was set up by the Cabinet Public Relations Office on September 12. This aims to provide easily understood communication to the people, about the Prime Minister's thoughts and the status of initiatives, regarding the priority policies advanced by the Noda Cabinet.

The FSA also arranges to have the banner shown below posted on the web sites of the FSA, Financial Research Center, Securities and Exchange Surveillance Commission, and the Certified Public Accountants and Auditing Oversight Board.

Prime Minister NODA's BLOGURL: http://nodasblog.kantei.go.jp/

○ e-Gov Electronic Application System use (Available in Japanese only)

As an initiative to improve convenience and service for the people, for applications and notices of the Financial Services Agency, you can use the e-Gov Electronic Application System to send electronic applications and notices, etc. Please take advantage of it.

To see which applications and notices etc. can be processed in this system, please check Search by List of Laws & Ordinances, on the page Procedure Instructions for Applications & Notices, etc.

To use this system, you must agree with the e-Gov Electronic Application System Usage Agreement

○ Advantages of using the e-Gov Electronic Application System

• Anytime

  • You can do procedures 24 hours without time restrictions, even at night or on holidays.

    Note: When this system requires maintenance, there can be times when the system stops working.

• Anywhere

  • You can do procedures via Internet at home, work, and even far away.

    Note: For attached documents, when you must submit originals such as public institution certificates, you may have to send them separately by post, etc.

* For details on how to use the e-Gov Electronic Application System, see Electronic Applications on the e-Gov home page.

○ Is That Money-Making Scheme Safe?
Beware of fraudulent investment solicitation!

There have been frequent cases of fraudulent investment solicitation related to unlisted stocks and investment funds. Please watch out for such fraudulent investment solicitation.

It is important to make a decision as to whether or not to actually make an investment based on an adequate understanding of the contents of the transaction. If there are any suspicious points, we advise you to act cautiously, such as by refraining from making the transaction.

When you have detected suspicious solicitation activity, be sure to contact the FSA's Counseling Office for Financial Services Users.

* For further details, please refer to the following FSA websites (available only in Japanese)

• Watch Out for Suspicious Investment Solicitation, etc.
• List of licensed (registered) Financial Institutions

○ Protecting the markets with information received from the public!

The mission of the Securities and Exchange Surveillance Commission (SESC) is to ensure the fairness and transparency of Japan's markets and to protect investors, through exerting its authority of market surveillance, inspections of securities companies, administrative monetary penalties investigations, disclosure documents inspections and investigations of criminal cases.

The SESC receives a wide range of information from the general public via phone, mail, fax and the internet, relating to suspected misconducts in the market such as those below. Information received is effectively used as reference material in its investigations, inspections and other activities. During business year 2009, the SESC received 7,118 items of information.

Information on specific stocks

Market manipulation (through “misegyoku” (false orders), short selling, etc.) Insider trading (selling off of stocks by a corporate insider prior to publication of material facts, etc.) Spreading of rumors (false rumors through posts to online bulletin boards or email magazines, etc.) Suspicious disclosure (annual securities reports, timely disclosure, etc.) Suspicious financing (fictitious capital increases, suspicious allottees, etc.) Problems of internal control for listed companies etc.

Poster calling on the general public to provide information

Information on financial instruments business operators, etc.

• Wrongful acts by securities companies, foreign exchange margin (FX) traders, management firms, investment advisories/agencies, etc. (inadequate explanation of risks, system-related problems, etc.)
• Problems related to business management systems or financial conditions (risk management, customer asset segregation, calculation of capital adequacy ratio, etc.) etc.

Other information

• Information on suspicious financial instruments, suspicious funds (fraudulent fund-raising schemes, etc.) or on unregistered business operators
• Information on market participants who are likely to impair the fairness of markets (so-called speculator groups, etc.) etc

If you have any information like that described above, please be sure to submit it to the SESC. In addition to information on shares, the SESC also accepts a wide range of information on derivatives, bonds and other financial instruments. (Please note that the SESC does not accept individual requests for dispute resolution and inspections.)

To submit information via the internet, please access the Securities Watch & Report Portal on the SESC website. (Available in Japanese only)

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○ Subscribing to the Email Information Service (Japanese/English)

The Financial Services Agency provides an Email Information Service (Japanese and English) through its website. If you register your email address on the Japanese subscription page, we will email you once a day with the latest information, such as the monthly publication, “Access FSA”, and daily press releases.

If you register on the English subscription page, we will email you once a day with the latest information, such as the “What's New” information on the English website as well as the “FSA Newsletter”.

To register in Japanese, please access , and to register in English, please access Subscribing to E-mail Information Service.

○ Subscribing to the SESC Email Information Service

The Securities and Exchange Surveillance Commission (SESC) provides an Email Information Service (Japanese/English) through its website. If you register your email address, we will email you with the latest information from the SESC website, such as recommendations relating to administrative action against financial instruments business operators and recommendations relating to orders for the payment of administrative monetary penalties.

* For further details and to register in Japanese, please access , and to register in English, please access Subscribing to E-mail Information Service on the SESC website.

○ Subscribing to the CPAAOB Email Information Service

The Certified Public Accountants and Auditing Oversight Board (CPAAOB) provides an Email Information Service (Japanese/English) through its website. If you register your email address, we will email you with the latest information from the CPAAOB website.

* For further details and to register in Japanese, please access , and to register in English, please access Subscribing to E-mail Information Service on the CPAAOB website.

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