Indication of the matters stipulated in Article 37 of the Financial Instruments and Exchange Act - BNP Paribas Japan

Indication of the matters stipulated in Article 37 of the Financial Instruments and Exchange Act

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BNP Paribas Securities (Japan) Limited

Upon conducting financial instruments transactions, you may be required to pay fees, etc. designated for each financial instrument, etc. (for example, in the case of share transactions, brokerage commission calculated by multiplying the contract price by the commission rate agreed upon with you in advance and consumption tax; or, in the case of investment trust transactions, sales commission established for each issue and various expenses, etc., including trust fees). In addition, all financial instruments have various risks related thereto. A significant amount of loss or payment obligation may result from changes in domestic or international political, economic or financial situations, exchange rates, stock market prices, commodity prices, level of interest rates and other market conditions, credibility of issuers, etc. or other underlying assets designated as index, etc. Moreover, in the case of derivative transactions, you may be required to deposit security money, etc. the specific amount of which will be determined upon agreement with us. In addition, you may be required to deposit additional security money, etc. With respect to these transactions, the amount of the transaction may exceed the amount of security money, etc. (the proportion of the transaction amount to the amount of security money, etc. cannot be calculated as specific terms and conditions are not determined at present.). In addition, loss or payment obligation in an amount that exceeds the amount of security money, etc. may result from changes in the above-mentioned underlying assets designated as index. Furthermore, depending on the types of transactions, there may be a difference between the matter equivalent to the sale price and the matter equivalent to purchase price as stipulated in Article 16, Paragraph 1, Item 6 of Order for Enforcement of the Financial Instruments and Exchange Act. As fees, etc. and risks vary from one financial instrument to another, please read carefully documents to be delivered prior to the conclusion of a contract, prospectus or materials intended for customers relating to such financial instruments, etc.

You need to note that, if any exercise period exists, the period during which you are entitled to exercise your rights is limited.

If there is any early termination clause, including clause regarding cancellation before the maturity and automatic expiration clause, a transaction may terminate before the scheduled end date.

BNP Paribas Securities (Japan) Limited

Financial Instruments Business Operator: Director General of the Kanto Finance Bureau (kinsho) No. 2521
Association membership: The Japan Securities Dealers Association; Financial Futures Association of Japan and Type II Financial Instruments Firms Association

 

BNP Paribas, Tokyo Branch

Upon conducting financial instruments transactions, you may be required to pay fees, etc. designated for each financial instrument, etc. (for example, foreign exchange commission incurred in depositing as well as closing term deposits in foreign currencies). In addition, all financial instruments have various risks related thereto. A significant amount of loss or payment obligation may result from changes in domestic or international political, economic or financial situations, exchange rates, stock market prices, commodity prices, level of interest rates and other market conditions, credibility of issuers, etc. or other underlying assets designated as index, etc. Moreover, in the case of derivative transactions, you may be required to deposit security money, etc. the specific amount of which will be determined upon agreement with us. In addition, you may be required to deposit additional security money, etc. With respect to these transactions, the amount of the transaction may exceed the amount of security money, etc. (the proportion of the transaction amount to the amount of security money, etc. cannot be calculated as specific terms and conditions are not determined at present.). In addition, loss or payment obligation in an amount that exceeds the amount of security money, etc. may result from changes in the above-mentioned underlying assets designated as index. Furthermore, depending on the types of transactions, there may be a difference between the matter equivalent to the sale price and the matter equivalent to purchase price as stipulated in Article 16, Paragraph 1, Item 6 of Order for Enforcement of the Financial Instruments and Exchange Act. As fees, etc. and risks vary from one financial instrument to another, please read carefully documents to be delivered prior to the conclusion of a contract, prospectus or materials intended for customers relating to such financial instruments, etc.

You need to note that, if any exercise period exists, the period during which you are entitled to exercise your rights is limited.

If there is any early termination clause, including clause regarding cancellation before the maturity and automatic expiration clause, a transaction may terminate before the scheduled end date.

BNP Paribas, Tokyo Branch.

Registered Financial Institutions: Director General of the Kanto Finance Bureau No. 98
Association membership: The Japan Securities Dealers Association; Financial Futures Association of Japan

 

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