Legal Notices
Expiry of Investor Status

Expiry Date for Investors' Status

Establishment of an Expiry Date with regard to Investors' Status Change required by the Financial Instruments and Exchange Law

Dear Customer,

The Financial Instruments and Exchange Law (FIEL), introduced on 30 September 2007, coupled with other associated laws e.g., the Banking Law, calls for further enhancement on customer protection by the introduction of the Investors' Status System which categorises customers into "professional investors" and "general investors."

Further customer protection is expected to be achieved by a newly introduced obligation by financial institutions to deliver documents explaining risks to general investors before making a contract. The system allows investors to change their status from "professional" to "general" or from "general" to "professional" based on a request from investors with the Bank's approval according to the type of a contract. As for the timeframe for a transfer, SCB Wholesale Banking would like to inform you that "30 November which arrives after an approval date within a year" is chosen as an expiry date regardless of our approval date.

Also, please note that a selected status will automatically be refixed to the original status on and after the expiry date; therefore you are expected to apply for renewal if you wish to stay on as the selected status. (In Consumer Banking, an expiry date will be set as the date when a year has elapsed since the approval date.)

Standard Chartered Bank
Wholesale banking
Registering Financial Authority East Japan Ministry of Finance No.604 Member of Japan Securities Commission