CERTIFICATE OF TRANSLATION
`
`I, HARUMI RUDOLPH, CERTIFY THAT:
`
`1. I am fluent in Japanese and English.
`
`2. I have been a member of the American Translator's Association (ATA)
`
`for 18 years. I passed the ATA qualification exam in 2000.
`
`3. I have 25 years of Japanese-English translation/editing experience, and
`
`focus on legal, finance, IT, and medical content.
`
`4. I am certified by TransPerfect, an ISO 9001:2008 certified company, in
`
`the areas of General Investment (Financial) and Serious Adverse Events Forms
`
`(Clinical-Technical).
`
`5. I reviewed the Japanese-language document that is attached to this
`
`certification as Attachment A. I also reviewed the English-language document that
`
`is attached to this certification as Attachment B. To the best of my knowledge, the
`
`English-language document that is attached to this certification as Attachment B is
`
`a true and accurate translation from Japanese to English of the Japanese-language
`
`document that is attached to this certification as Attachment A.
`
`6. I hereby declare that all statements made herein of my own knowledge are
`
`true and that all statements made on information and belief are believed to be true;
`
`0001
`
`IBG 1053
`IBG v. TT
`CBM2016-00054
`
`

`

`and further that these statements were made with the knowledge that willful false
`
`statements and the like so made are punishable by fine or imprisonment, or both,
`
`under Section 1001 of Title 18 of the United States Code.
`
`Executed this 14th day ofNovember, 2016 in Colleyville, Texas.
`
`0002
`
`

`

`V lN3:WHJVllV ATTACHMENT A
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`--·-·
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`FAX 3666-0615
`
`0011
`
`

`

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`0012
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`

`

`HlN3:WH:JVllV ATTACHMENT B
`
`0013
`
`0013
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`

`

`(Second)
`
`
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`
`
`Serial Number [handwritten:] 79
`
`Dept.
`(Office)
`Manager
`[seal:]
`Suyama
`Deputy
`Manager
`
`
`[seal:]
`Yoshida
`
`
`
`Consult
`ation
`
`
`Section Manager
`Futures Bonds
`[seal:] Sekizawa
`(representative)
`
`
`Section
`Manager
`
`
`[seal:]
`Furukawa
`
`Investigation
`Officer
`
`
`[seal:]
`Sakamoto
`
`Section
`Manager
`Representative
`
`[seal:]
`Kawashima
`
`Proposed August 6, 1998
`
`Approved August
`[handwritten:] 7, 1998
`
`
`Section (Office)
`Member
`
`
`[seal:]
`Tanaka
`
`Business Systems
`Department
`Section (Office)
`
`
`
`
`
`TEL (3758)
`
`Approval
`
`Drafters
`
`Matter
`
`
`
`Two copies per company of the Futures / Options Trading System Trading Terminal Operation Manual are to be
`sent to all members and special participants.
`
`Regarding the Sending of the “Futures / Options Trading System Trading Terminal Operation Manual”, Etc.
`
`
`
`
`End
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`Tokyo Stock Exchange
`
`No. 1
`
`0014
`
`

`

`Attn. Transition Managers
`Futures / options trading system update
`
`
`TSE Business Systems No. 00
`MM DD, 1998
`
`Tokyo Stock Exchange
`Business Systems Manager
`Mitsuru Suyama
`
`
`Regarding the Sending of the “Futures / Options Trading System Trading Terminal Operation Manual”, Etc.
`
` Thank you for your continued assistance in the transition to the updated futures / options trading system.
` We have created the operation manual for the new terminal that will be used for the “futures / options trading
`system” that is scheduled to be transitioned to in September. We have sent two copies of this operation manual to
`each company, so please refer to it when conducting overall operation tests, etc., and when using the new terminals.
`
` In addition, the following materials have been enclosed for your interest.
`
` 
`
` Matters to be aware of regarding the functions of the new terminal and when conducting overall
`operation tests (Annex 1)
` Separate to the operation manual, we have summarized the matters for consideration when using the new terminal
`as well as the functions of the new terminal that will be restricted during the overall testing; please refer to it at your
`convenience.
`
` 
`
` Keyboard key top stickers for new terminals
` We apologize for the inconvenience, however please attach the key top stickers to the dedicated keyboard referring
`to the key layout diagram on the back of the stickers.
`* As the key top stickers have not been prepared for general use keyboards, please make arrangements for keys
`other than those for which the stickers for the dedicated keyboard may be used.
`* The successor terminal and new terminal have partially differing key layouts. With regard to successor terminals
`that also serve as general use terminals (D pattern terminals), if attaching the stickers to the new terminal causes
`interference with the work in the current system, please attach the stickers after the updated system has commenced
`operation.
`
` 
`
` Terminal Configuration Chart (Annex 2)
` As the configuration of the “new terminal” after the commencement of the operation of the updated futures /
`options trading system will be as indicated here, please check the configuration of the new terminals at your
`company.
`* Where a terminal server is preceded with a “D”, this indicates that it is a “data server” as stated in the terminal
`operation manual.
`
`
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`
`
` 1
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`
`
`0015
`
`

`

` Password Function Use Application Form (Annex 3)
` If you would like to use the password function stated in “Appendix 3” of the new terminal operation manual, please
`enter the password, etc., to be used in “Annex 3”, and submit this to us.
`* Please be advised that even if this application is submitted, as password setting work will need to be performed, it
`may take some time until you are able to use the function.
`* As the simple security function of the successor terminal shall not continue, with regard to the successor terminals
`that also serve as general terminals (D pattern terminals), if you will continue to need a password, etc., for these,
`please submit this form once again.
`
` 
`
` Mnemonic stickers for dedicated keyboard
` These will only be sent to participants for whom we were unable to deliver a dedicated keyboard at the time of
`delivery of the new terminals.
`Please attach these to the delivered, dedicated keyboards in reference to “Annex 4”, which is attached to this
`document.
`
`If you have any questions about the content of the terminal operation manual, etc., please contact us at the address
`shown below.
`
`
`End
`
`
`[Inquiries]
`Tokyo Stock Exchange
` Futures / Options Trading System Representatives, Business Systems Department
`
`
`TEL 3808-2571 - 5 (direct dial)
`
`
` 
` Regarding the terminal operation manual Representatives: Kawashima, Tanaka
`
`
` 
` Regarding the terminal configuration
`Representative: Sakamoto
`
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` 2
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`
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`0016
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`

`

`Matters to be aware of regarding the functions of the new terminal and when conducting overall operation tests
`
`Annex 1
`
`
`
`1. Matters to be aware of when using the new terminal
`
` 
`
` 
`
` 
`
` When entering new orders, management items (by self / consignment) will need to be specified.
`In the event of self / consignment being determined in advance on a client by client basis, please use the
`“Automatic setting of management items (by self / consignment) when entering orders” function.
` “Page 6 – 7, Automatic setting of management items (by self / consignment) when entering orders”
`
` Self / consignment will also need to be specified when entering re-sale / re-purchase (or exercising rights)
`quantities.
`In addition, re-sale and re-purchase quantities can be entered without differentiating between the current day
`parts and existing parts.
` “Page 11-2, Points to note when entering re-sale / re-purchase quantities, etc.”
`
`
`
`If you would like to print various notifications, specify the printer to be used for each notice in the “Notification
`Output Specification” function.
`You will not be able to print such notifications without configuring these settings.
` “Page 6-11, “Printer settings for order and contract related notifications”
` “Page 6-16, Printer settings for the sending of notifications such as the opening interest balance
`notification”
`
`
`
` 
`
`In the event of using a connection between servers, if you want to also send a notification relating to orders,
`etc., entered from the new terminal (order received notification, contract established notification, re-sale / re-
`purchase result notification, etc.) to a virtual server, please specify the output virtual server for each notification
`in the “Notification Output Specification (Virtual)” function.
`  “Page 6-19, Output virtual server settings for notifications relating to orders and contracts”
`
` The resend function in the new terminal is a little different from that of the current terminal. Please be advised
`that if you make repeated retransmissions, there may be cases where the notification cannot be received from
`the central system.
`It should be noted that the “Print Notification” function should be used in order to reprint notifications.
` “Page 14-5 Request / Stop Retransmission”
` “Page 14-13 Print Notification”
`
`
`2. Restrictions to new terminal functions in overall operation tests
` The help function will be unavailable at first in the overall operation tests.
` The automatic settings page function will be unavailable at first in the overall operation tests.
`
`
`
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`
`
`1
`
`0017
`
`

`

`Annex 1
`
`
`
`Inquiries for quote information on stock indices and underlying stock will be unavailable at first in the
`overall operation tests.
`
` Please be advised in advance that at first in the overall operation tests, due to defects in our settings,
`there may be terminals for which the aforementioned printer settings for the sending of notifications
`such as the opening interest balance notification cannot be made.
`*It should be noted that said notification may be printed through the use of the “Print Notification
`Function”.
`
` Please note that during the overall operation tests, the central system will be set to limit the number of
`order entries to 1,000, so any orders in excess of this will result in an error.
`
`
`
`2
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`
`
`0018
`
`

`

`Daiwa Seccurities 12000
`
`R
`
`
`
`Terminal CConfiguration
`
`
`Chart
`
`
`
`Annnex 2
`
`
`
`
`25801 96600
`
`
`Combinned Use 65666
`
`
`
`
`
`
`
`Client Displlay Dot Receipt Page Bond Futurres Bond OP Futture OP Share OOP DIS MVD1
`
`
`
`
`
`MVD2 MVD3 MMVD4
`
`
`
`
`D 25802 96600
`Converrted
`65665
`Client Displ
`
`
`
`
`
`
`lay Dot Receipt Page Bond Futurres Bond OP Futture OP Share OOP DIS MVD1
`
`
`
`
`
`
`25803 HHSD64 Combinned Use 65662
`
`
`
`
`
`
`
`Client Displlay Dot Receipt Page Bond Futurres Bond OP Futture OP Share OOP DIS MVD1
`
`
`
`
`
`MVD2 MVD3 MMVD4
`
`
`
`25804 HSD64 Combinned Use
`
`65661
`Client Displ
`
`
`
`
`
`
`lay Dot Receipt Page Bond Futurres Bond OP Futture OP Share OOP DIS MVD1
`
`
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`MVD2 MVD3 MMVD4
`
`
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`MVD2 MVD3 MMVD4
`
`
`
`MVD2 MVD3 MMVD4
`
`
`ned Use 25805 DA64 Combin
`
`
`04370
`Client Displ
`
`
`lay Dot
`
`
`
` Receipt Page Bond Futurres Bond OP Futture OP Share OOP DIS MVD1
`
`
`
`
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`
`
`0019
`
`

`

`
`
`25806
`96600
`
`
`Convertted
`65663
`Client Displ
`
`
`
`
`
`
`lay Dot Receipt Page Bond Futurres Bond OP Futture OP Share OOP DIS MVD1
`
`
`
`
`
`Terminal CConfiguration
`
`Chart
`
`
`ted 25807 HSD64 Convert
`
`
`65664
`Client Displ
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`
`
`
`
`
`lay Dot Receipt Page Bond Futurres Bond OP Futture OP Share OOP DIS MVD1
`
`
`
`
`
`
`25808
`96600
`Combinned Use
`04341
`Client Displ
`
`
`lay Dot
`
`
`
`
`
` Receipt Page Bond Futurres Bond OP Futture OP Share OOP DIS MVD1
`
`
`
`Annnex 2
`
`
`
`MVD2 MVD3 MMVD4
`
`
`
`MVD2 MVD3 MMVD4
`
`
`
`MVD2 MVD3 MMVD4
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`2
`
`0020
`
`

`

`Attn. Business Systems Department Manager
`Tokyo Stock Exchange
`
`
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`Annex 3
`
`MM DD YYYY
`
`
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`
`
`Company Name
`
`Notifications Manager
`
`_____________ Seal
`
`Contact Person
`
`
`
`_____________
`
`
`
`
`
`TEL
`
`_____________
`
`Password Function Usage Application Form
`<Futures / Options Trading System>
`
`
` We hereby make the following application to use the password function of new terminals in the futures / options
`trading system.
`
`Details
`
`1. Specification of terminals with a configured simple security function
`(1) In the event of using the “password function”, please specify one “four digit number” as a password to be
`set for each client “terminal server number”, “terminal number”, and client for which the password function is
`to be configured. (It is also acceptable to set the same password for multiple terminals.)
`(2) In the event of canceling a password setting, enter “cancel” in the password field.
`
`
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`End
`
`Terminal Server No.
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`Terminal No.
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` *Please use multiple application forms if there is insufficient space.
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`Password
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`[Submission address, inquiries regarding the password function]
`Futures / Options Trading System Representative, Business Systems Department, Tokyo Stock Exchange
`
`TEL 3808-2574 (Direct Line)
`FAX 3666-0615
`
`
`
`0021
`
`

`

`Annex 4
`
`
`Request to attach mnemonic stickers to dedicated keyboard
`
` Dedicated keyboards are scheduled to be sent to participants, for whom dedicated keyboards were unable to be
`delivered at the time of delivery of the new terminals, by no later than August 7.
` We apologize for the inconvenience, but please attach the enclosed mnemonic stickers to the dedicated keyboards
`in accordance with the procedures below.
`
`*It should be noted with regard to dedicated keyboards that were delivered along with the new terminals, that the
`stickers were attached at the time of delivery.
`
`<Attachment Procedures>
` Enter the “Terminal Server Number + Terminal Number” on the mnemonic sticker.
`*For “Terminal Server Number + Terminal Number”, please enter the same numbers as those on the sticker already
`attached to client displays.
`
`
`[Mnemonic Sticker]
`Tokyo Stock Exchange
`Futures / Options Trading System
`
`9 9 9 0 1
` –
`Terminal Server Number
`
`1 0 0 1
`Terminal Number
`
`
`
`
`
`
`
`
`
`
`
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`
`
`
`
`
`
` 
`
` Attach to the dedicated keyboard.
`
`[Dedicated Keyboard]
`
`
`Tokyo Stock Exchange
`Futures / Options Trading System
`
`
`
`
`
`
`
`
`End
`
`0022
`
`