Fees Charged to Offset CBOT Exchange and Regulatory Fees Paid by IBKR

Interactive Brokers Securities Japan (IBSJ) is a reporting financial institution subject to "Act on Special Provisions of the Income Tax Act, the Corporation Tax Act, and the Local Tax Act Incidental to Enforcement of Tax treaties." Therefore, those who open financial accounts with us are required to submit a self-certification. Please be advised completion of the online application will satisfy the above requirement.

Account information, including account balance, is subject to reporting if the customer's jurisdiction of residence is a legally stipulated jurisdiction. Please click click here for more details.

In accordance with the October 1, 2016 amendment of the "Act of Prevention of Transfer of Criminal Proceeds," applicants classified as Foreign PEPs (Politically Exposed Persons) may no longer apply for an account with IBSJ (Domestic accounts). If non-applicable, please proceed with the application by clicking "continue after confirming the above......" (Should you proceed with the application, you shall be deemed non-applicable).

Foreign PEPs is defined as below:
Those who fall under any of the items below, including those who served in the past and their family members.

1. A Head of Government.
2. A position corresponding to the Prime Minister, a Minister, a Vice Minister, or equivalent.
3. A position corresponding to the Chairperson of the House of Representatives, the Vice Chairperson of the House of Representatives, or the Chairperson of the House of Councillors, or the Vice Chairperson of the House of Councillors.
4. A position corresponding to a Supreme Court Judge or equivalent.
5. A position corresponding to an Ambassador, Special Envoy Ambassador, or Government Representative.
6. A military general or higher rank.
7. The Director of a Central Bank.
8. The Director of a corporation whose budget is approved by the Diet (i.e. a government-owned company or government agency).

*Please contact IBSJ client service (03-4588-9710) if you cannot determine whether you classify as any of the above.

As Foreign (Non-Japanese citizen) Ownership is limited by the "Civil Aeronautics Act," "Radio Law," "The Broadcast Act," and "The NTT Law," you may not be entitled to shareholders benefits, as well as be listed as a shareholder, in case foreign ownership exceeds the upper limit.

Please click this link for details on holding ratio and other related information.

• If you already have an IBSJ account, please add a NISA account through the Client Portal rather than submitting a new NISA account application.
• You cannot hold NISA accounts with more than one broker at the same time. If you currently have a NISA account with another firm and wish to transfer it to IBSJ, you will need to either close your existing NISA account or submit a Broker Change Form with your current broker.
• If you have a NISA Account Abolishment Notice (勘定廃止通知書) or NISA Account Closure Notice (非課税口座廃止通知書) and wish to move your NISA to IBSJ within the same year, you must begin your NISA application by 15 September of that year. Please note that you cannot change your NISA broker for the current year if you have already made investments using your NISA during that year.
• If you start your application between 15 September and 31 December, your NISA account with IBSJ will not be approved until after 1 January of the following year. Even if you apply before 15 September, approval within the same year is not guaranteed. We recommend starting your application as early as possible.
• For more details about NISA accounts, please click this link.