Notice Regarding USA PATRIOT Act Section 311

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.

The IBSJ account requires an initial deposit of 1,000,000 yen. An equivalent value of shares can be transferred instead of an initial deposit.

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.