Financial Instruments Business Operators As of August 31, 2021 Type I Type II Investment Investment Securities- Financial Financial Advisory and Jurisdiction Registration numbers Name JCN Address Telephone Management Related Instruments Instruments Agency Business Business Business Business Business Financial Services Agency Kanto Local Finance Bureau(FIBO) No.16 AXA INVESTMENT MANAGERS JAPAN LTD. 4010401061149 1-17-3, Shirokane, Minato-ku, Tokyo 03-5447-3100 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.18 Ichigo Estate Co., Ltd. 1010001125620 1-1-1,Uchisaiwai-cho,Chiyoda-ku,Tokyo 03-3502-5625 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.44 SBI Securities CO., LTD. 3010401049814 1-6-1, Roppongi, Minato-ku, Tokyo 03-5562-7210 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.45 Japannext Co.,Ltd. 2010001139289 3-1-1, Roppongi, Minato-ku, Tokyo 03-4577-4040 ○ ○ Kanto Local Finance Bureau(FIBO) No.51 Yensai.com Co., Ltd. 8010001082954 1-16-1, Kanda-Nishikicho, Chiyoda-ku, Tokyo 03-3518-8011 ○ ○ Kanto Local Finance Bureau(FIBO) No.52 Okasan Online Securities Co.,Ltd 2010001097479 3-9-7, Ginza, Chuo-ku, Tokyo 03-3547-0100 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.53 OKASAN SECURITIES CO.,LTD. 5010001082560 1-17-6,Nihonbashi,Chuo-ku,Tokyo 03-3272-2211 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.57 Janus Henderson Investors (Japan) Limited 3010001012362 1-6-5,Marunouchi, Chiyoda-ku, Tokyo 03-5219-8000 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.61 au Kabucom Securities Co., Ltd. 5010001066670 1-3-2, Otemachi, Chiyoda-ku, Tokyo 03-4221-3551 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.66 Credit Suisse Securities (Japan) Limited 2010401059260 1-6-1,Roppongi Minato-ku,Tokyo 03-4550-9000 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.69 Goldman Sachs Japan Co.,Ltd. 9010401059056 6-10-1,Roppongi Minato-ku,Tokyo 03-6437-1000 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.79 JBond Totan Securities Co., Ltd. 5010001139716 4-4-10, Nihonbashi-Muromachi,Chuo-ku, Tokyo 03-3548-9980 ○ ○ Kanto Local Finance Bureau(FIBO) No.82 JPMorgan Securities Japan Co.,Ltd. 6010001095702 2-7-3,Marunouchi Chiyoda-ku,Tokyo 03-6736-1111 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.90 Schroder Investment Management (Japan) Limited 6010001077097 1-8-3, Marunouchi, Chiyoda-ku, Tokyo 03-5239-1500 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.93 Shinkin Securities Co., Ltd. 1010001046305 8-1,Kyobashi 3-chome,Chuo-ku,Tokyo 03-5250-1717 ○ ○ Kanto Local Finance Bureau(FIBO) No.94 Mizuho Securities Co., Ltd. 7010001008687 Otemachi First Square, 5-1,Otemachi 1-chome, Chiyoda-ku, Tokyo 03-5208-3210 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.95 Shinsei Securities Co., Ltd 7010001078565 4-3, Nihonbashi-muromachi 2-chome, Chuo-ku, Tokyo 03-6880-6000 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.98 Superfund Japan Co., Ltd 8010001096211 1-1-1,Uchisaiwaicho,Chiyoda-ku,Tokyo 03-3508-6700 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.104 Central Totan Securities Co., Ltd. 7010001053279 4-4-10, Nihonbashi-Muromachi, Chuo-ku, Tokyo 03-5202-7501 ○ ○ Kanto Local Finance Bureau(FIBO) No.108 Daiwa Securities Co. Ltd. 9010001063235 1-9-1, Marunouchi, Chiyoda-ku, Tokyo 03-5555-2111 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.117 Deutsche Securities Inc. 7010001094546 2-11-1,Nagatacyo Chiyoda-ku,Tokyo 03-5156-6000 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.130 Citigroup Global Markets Japan Inc. 7010001113388 1-1-1 Otemachi, Chiyoda-ku, Tokyo 100-8132, Japan 03-6776-8800 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.136 JAPAN BOND TRADING CO., LTD. 6010001062256 1-1-1, Kyobashi, Chuo-ku, Tokyo 03-3274-5481 ○ ○ Kanto Local Finance Bureau(FIBO) No.140 Northern Trust Global Investments Japan,K.K. 5010401048979 1-9-10,Roppongi,Minato-ku,Tokyo 03-5575-5780 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.142 Nomura Securities Co., Ltd. 6010001074037 1-13-1 Nihonbashi, Chuo-ku, Tokyo 03-3211-1811 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.143 Barclays Securities Japan Limited 4010401086856 6-10-1,Roppongi , Minato-ku, Tokyo 03-4530-1100 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.147 The Bank of New York Mellon Securities Company Japan Ltd. 4010001095142 1-8-3, Marunouchi, Chiyoda-ku, Tokyo 03-6756-4300 ○ ○ Kanto Local Finance Bureau(FIBO) No.160 BLOOMBERG ＴRADEBOOK JAPAN LTD . 6010001033892 2-4-1, Marunouchi, Chiyoda-ku, Tokyo 03-3201-3443 ○ ○ Kanto Local Finance Bureau(FIBO) No.164 Matsui Securities Co., Ltd. 2010001057425 1-4, Kojimachi, Chiyoda-ku, Tokyo 03-5216-0606 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.165 Monex, Inc. 1010001064546 2-4-1, Kojimachi, Chiyoda-ku, Tokyo 03-4323-3800 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.186 BofA Securities Japan Co., Ltd. 5010001030858 1-4-1,Nihonbashi Chuo-ku,Tokyo 03-6225-7000 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.188 Morgan Stanley MUFG Securities Co.,Ltd. 2011001046046 1-9-7,Otemachi Chiyoda-ku,Tokyo 03-6836-5000 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.192 UBP Investments Co.,Ltd. 4010001095794 1-9-1, Yurakucho, Chiyoda-ku, Tokyo 03-5220-2111 ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.195 Rakuten Securities, Inc. 5010701021660 2-6-21, Minamiaoyama, Minato-ku,Tokyo 03-6739-1700 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.196 Russell Investments Japan Co.,Ltd. 6010401037394 1-3-1, Toranomon, Minato-ku, Tokyo 03-6203-0200 ○ ○ ○ ○ Type I Type II Investment Investment Securities- Financial Financial Advisory and Jurisdiction Registration numbers Name JCN Address Telephone Management Related Instruments Instruments Agency Business Business Business Business Business Kanto Local Finance Bureau(FIBO) No.202 NatWest Markets Securities Japan Limited 6700150000005 1-6-2,Marunouchi Chiyoda-ku,Tokyo 03-6266-3500 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.203 RBC Capital Markets (Japan) Limited 2700150004488 1--8-1, Akasaka, Minato-ku, Tokyo 03-4577-7000 ○ ○ Kanto Local Finance Bureau(FIBO) No.212 HSBC Securities （Japan） Limited 7700150003601 3-11-1,Nihonbashi Chuo-ku,Tokyo 03-5203-3111 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.214 Credit Agricole Securities Asia B.V 2700150004595 1-9-2,Higashishinbashi Minato-ku,Tokyo 03-4580-5900 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.220 Jefferies (Japan) Limited － 1-1-2,Yurakucho, Chiyoda-ku, Tokyo 03-5251-6100 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.229 BGC Shoken Kaisha Limited 9700150006429 5-3-1 Akasaka, Minato-ku, Tokyo 03-4589-9100 ○ ○ Kanto Local Finance Bureau(FIBO) No.231 Macquarie Capital Securities (Japan) Limited 6700150002645 4-1,Kioicho Chiyoda-ku,Tokyo 03-3512-7900 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.300 NN Investment Partners (Japan)Co.,Ltd. 4010001065839 2-24-12 Shibuya,Shibuya-ku,Tokyo 03-4567-0600 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.301 Asahi Life Asset Management Co., Ltd. 9011301011486 1-22-19 Izumi,Suginami-ku,Tokyo 03-3323-6201 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.303 AllianceBernstein (Japan) Ltd. 7010001010313 2-1-6, Uchisaiwaicyo, Chiyoda-ku, Tokyo 03-5962-9000 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.304 Arigato Asset Management Inc. 4010501022769 2-15-9 Uchikanda,Chiyoda-ku,Tokyo 03-5295-8030 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.306 Invesco Asset Management (Japan) Limited 7010401061146 6-10-1,Roppongi,Minato-ku,Tokyo 03-6447-3000 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.307 PineBridge Investments Japan Co., Ltd. 8010001011855 3-1,Otemachi 1-chome,Chiyoda-ku,Tokyo 03-5208-5800 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.308 HSBC Global Asset Management (Japan) K.K. 3010001124868 3-11-1, Nihon-bashi, Chuo-ku, Tokyo 03-3548-5690 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.309 AD Investment Management Co.,Ltd. 5010001093244 1-105, Kandajinbocho, Chiyoda-ku,Tokyo 03-3518-0480 ○ ○ Kanto Local Finance Bureau(FIBO) No.311 SBI ASSET MANAGEMENT CO., LTD. 2010401045054 1-6-1, Roppongi, Minato-ku, Tokyo 03-6229-0147 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.312 MFS Investment Management K.K. 7010001096996 1-4-2 Kasumigaseki Chiyoda-ku Tokyo 03-5510-8550 ○ ○ Kanto Local Finance Bureau(FIBO) No.313 MU Investments Co.,Ltd. 1010001016976 2-3-11 Kandasurugadai,Chiyoda-ku,Tokyo 03-5259-5351 ○ ○ Kanto Local Finance Bureau(FIBO) No.314 Consonant Investment Management Co., Ltd. 3010401099545 6-10-1 Roppongi, Minato-ku, Tokyo 03-5411-2731 ○ Kanto Local Finance Bureau(FIBO) No.315 ORIX Asset Management Corporation 2010401042324 2-3-1, Hamamatsucho, Minato-ku, Tokyo 03-5776-3320 ○ Kanto Local Finance Bureau(FIBO) No.316 HEIWA REAL ESTATE Asset Management CO., LTD. 5010401040523 9-1 Nihonbashi-Kabutocho, Chuo-ku, Tokyo 03-3669-8771 ○ Kanto Local Finance Bureau(FIBO) No.317 Capital International K.K. 8010001014858 2-1-1 Marunouchi,Chiyoda-ku,Tokyo 03-6366-1000 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.318 Ichigo Investment Advisors Co.,Ltd. 6010001139913 1-1-1, Uchisaiwai-cho,Chiyoda-ku, Tokyo 03-3502-4891 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.320 Aberdeen Standard Investments (Japan) Limited 9010401008780 1-9-2, Otemachi, Chiyoda-ku, Tokyo 03-4578-2211 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.322 Global Allaiance Realty Co.,Ltd. 9010001079223 4-1 Kojimachi,Chiyoda-ku,Tokyo 03-3262-1471 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.324 Asset Management One CO., Ltd. 9010001021473 8-2 Marunouchi 1-chome Chiyoda-ku,Tokyo 03-6774-5000 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.325 Goldman Sachs Asset Management Co., Ltd. 8010401009945 10-1 Roppongi 6-chome,Minato-ku,Tokyo 03-6437-6000 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.328 Sawakami Asset Management Inc. 1010001018139 29-2, Ichibanncyo,Chiyoda-ku,Tokyo 03-5226-7791 ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.330 JPMorgan Asset Management(Japan)Limited 6010001098507 7-3,Marunouchi 2-Chome Chiyoda-ku,Tokyo 03-6736-2000 ○ ○ ○ ○ ○ Kanto Local Finance Bureau(FIBO) No.331 JAPAN EXCELLENT ASSET MANAGEMENT CO．，LTD． 6010401057310 1-15-9, Minamiaoyama, Minato-ku, Tokyo 03-5575-3511 ○ Kanto Local Finance Bureau(FIBO) No.334 Japan Hotel REIT Advisors Co.,Ltd. 1011001073173 1-18,Ebisu 4-chome Shibuya-ku,Tokyo 03-6422-0549 ○ ○ Kanto Local Finance Bureau(FIBO) No.335 Japan Real Estate Asset Management Co., Ltd. 4010001032203 1-1-1, Otemachi, Chiyoda-ku, Tokyo 03-3211-7921 ○ Kanto Local Finance Bureau(FIBO) No.336 Japan REIT Advisors Co.,Ltd.