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 1059
`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
`
`--·-·
`
`0003
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`0003
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`

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`----
`
`0008
`
`

`

`HlN3:WH:JVllV ATTACHMENT B
`
`0009
`
`0009
`
`

`

`
`
`
`
`
`
`
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`
`
`
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`
`
`Serial Number 78
`
`Dept.
`(Office)
`Manager
`[Seal:
`Suyama]
`Deputy Manager
`
`
`[Seal:] Sugimoto
`
`Consult
`ation
`
`
`
`Futures Business
`Stock / OP Dept.
`Office
`
`[Seal:] Arai
`[Seal:] Iwasaki
`Investigation
`Section
`Officer
`Manager
`
`
`[Seal:] Sakamoto
`[Seal: Illegible]
`
`Section Manager
`
`Systems Division
`
`[Seal:] Sekiguchi
`
`Information Systems
`
`[Seal:] Oguro
`(representative)
`Section (Office)
`Member
`
`[Seal:]Kawashima]
`
`Section
`Manager
`Representative
`
`Proposed
`September 11, 1997
`Approved
`September [stamp:]
`11, 1997
`
`(Second)
`
`
`Approval
`
`Drafters
`
`Matter
`
`Business
`Systems
`Department
`Section (Office)
`TEL (3036)
`Regarding the holding of a briefing on the futures / options trading system update, as well as the
`issuance of convocation notices.
`
`
`With regard to the briefing on the futures / options trading system update as below, a briefing shall be held for TSE
`members and special participants, who shall be notified as per the annex.
`
`
`1. Date and Time
`2. Location
`3. Subject
`
`
`
`
`
`Details
`
`Over a period of 4 days between September 29 (Mon) – October 2 (Thurs), 1997
`2F Main Building (TSE Hall)
`Overview of the futures / options trading system update
`
`End
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Tokyo Stock Exchange
`
`No. ______________
`
`0010
`
`

`

`Attn.
`Trading Systems Trading Manager
`Trading Representative for Share Index Future Transactions, Etc., Trading Systems
`Trading Representative for Share Option Transactions Trading Systems
`Trading Representative for Bond Transactions
`
`
`[handwritten]TSE Members
` [stamp:] Annex
`
`TSE Business Systems No. 86
`September , 1997
`
`Tokyo Stock Exchange
`Business Systems Manager
`Mitsuru Suyama
`
`
`Holding of Briefing on Futures / Options Trading System Update
`
` Thank you for your continued interest in TSE trading systems.
` Based on the TSE trading system replacement plan approved at the Regular Board of Directors Meeting of April
`1996, the preparations for the update of the futures / options system are proceeding with a target of operation in the
`middle of 1998. On this occasion, we have brought together an overview of the new system as well as a (tentative)
`future schedule, and so are holding a briefing on this; please refer to the details below.
` We would be grateful if you could bring this briefing to the attention of your company’s departments, as well as to
`each individual representative.
`
`
`Schedule
`
`
`September 29, 1997 (Mon), 04:00 p.m. – 05:30 p.m.
`1. Date and Time
`Tokyo Stock Exchange: 2F Main Building (TSE Hall)
`2. Location
`
`Overview of the futures / options trading system update
`3. Subject
`
`4. Number of Attendees Up to 4 (per participant)
`
`
`
` It should be noted that due to the circumstances of the venue, the briefing will be held on two days, September 29th
`and 30th, however the briefing will be of the same content on both days. Due to the capacity of the venue we are only
`able to accept up to four attendees per participant, so please ensure that your departments responsible for stocks and
`bonds make arrangements regarding attendees. In addition, if your representatives are unable to attend, we are able
`to send the documents, so please contact us at the address indicated below.
`
`
`
`Inquiries Regarding this Briefing
`
`Futures / Options Trading System Update Representative, Business Systems Department, Tokyo Stock Exchange
`Sakamoto
`Tel.
`(Switchboard) 3666-0141 (ext. 3036)
`
`
`
`(Direct) 3808-2574
`
`
`
`End
`
`0011
`
`

`

`Attn.
`Trading Systems Trading Manager
`Trading Representative for Share Index Future Transactions, Etc., Trading Systems
`Trading Representative for Share Option Transactions Trading Systems
`Trading Representative for Bond Transactions
`
`
`[handwritten]TSE Members
`[stamp:] Annex
`
`TSE Business Systems No. 86
`September , 1997
`
`Tokyo Stock Exchange
`Business Systems Manager
`Mitsuru Suyama
`
`
`Holding of Briefing on Futures / Options Trading System Update
`
` Thank you for your continued interest in TSE trading systems.
` Based on the TSE trading system replacement plan approved at the Regular Board of Directors Meeting of April
`1996, the preparations for the update of the futures / options system are proceeding with a target of operation in the
`middle of 1998. On this occasion, we have brought together an overview of the new system as well as a (tentative)
`future schedule, and so are holding a briefing on this; please refer to the details below.
` We would be grateful if you could bring this briefing to the attention of your company’s departments, as well as to
`each individual representative.
`
`
`Schedule
`
`
`September 30, 1997 (Tues), 04:00 p.m. – 05:30 p.m.
`1. Date and Time
`Tokyo Stock Exchange: 2F Main Building (TSE Hall)
`2. Location
`
`Overview of the futures / options trading system update
`3. Subject
`
`4. Number of Attendees Up to 4 (per participant)
`
`
`
` It should be noted that due to the circumstances of the venue, the briefing will be held on two days, September 29th
`and 30th, however the briefing will be of the same content on both days. Due to the capacity of the venue we are only
`able to accept up to four attendees per participant, so please ensure that your departments responsible for stocks and
`bonds make arrangements regarding attendees. In addition, if your representatives are unable to attend, we are able
`to send the documents, so please contact us at the address indicated below.
`
`
`
`Inquiries Regarding this Briefing
`
`Futures / Options Trading System Update Representative, Business Systems Department, Tokyo Stock Exchange
`Sakamoto
`Tel.
`(Switchboard) 3666-0141 (ext. 3036)
`
`
`
`(Direct) 3808-2574
`
`
`
`End
`
`0012
`
`

`

`[handwritten]Special Participants
`[stamp:] Annex
`
`TSE Business Systems No. 86
`September , 1997
`
`Attn.
`Trading Representative for Government Bond Future Transactions, Etc.
`Trading Representative for Share Index Future Transactions, Etc., Trading Systems
`Trading Representative for Share Option Transactions Trading Systems
`
`
`Tokyo Stock Exchange
`Business Systems Manager
`Mitsuru Suyama
`
`
`Holding of Briefing on Futures / Options Trading System Update
`
` Thank you for your continued interest in TSE trading systems.
` Based on the TSE trading system replacement plan approved at the Regular Board of Directors Meeting of April
`1996, the preparations for the update of the futures / options system are proceeding with a target of operation in the
`middle of 1998. On this occasion, we have brought together an overview of the new system as well as a (tentative)
`future schedule, and so are holding a briefing on this; please refer to the details below.
` We would be grateful if you could bring this briefing to the attention of your company’s departments, as well as to
`each individual representative.
`
`
`Schedule
`
`
`October 1, 1997 (Wed), 04:00 p.m. – 05:30 p.m.
`1. Date and Time
`Tokyo Stock Exchange: 2F Main Building (TSE Hall)
`2. Location
`
`Overview of the futures / options trading system update
`3. Subject
`
`4. Number of Attendees Up to 4 (per participant)
`
`
`
` It should be noted that due to the circumstances of the venue, the briefing will be held on two days, October 1st and
`2nd, however the briefing will be of the same content on both days. Due to the capacity of the venue we are only able
`to accept up to four attendees per participant, so please ensure that your departments responsible for stocks and
`bonds make arrangements regarding attendees. In addition, if your representatives are unable to attend, we are able
`to send the documents, so please contact us at the address indicated below.
`
`
`
`Inquiries Regarding this Briefing
`
`Futures / Options Trading System Update Representative, Business Systems Department, Tokyo Stock Exchange
`Sakamoto
`Tel.
`(Switchboard) 3666-0141 (ext. 3036)
`
`
`
`(Direct) 3808-2574
`
`
`
`End
`
`0013
`
`

`

`[handwritten]Special Participants
`[stamp:] Annex
`
`TSE Business Systems No. 86
`September , 1997
`
`Attn.
`Trading Representative for Government Bond Future Transactions, Etc.
`Trading Representative for Share Index Future Transactions, Etc., Trading Systems
`Trading Representative for Share Option Transactions Trading Systems
`
`
`Tokyo Stock Exchange
`Business Systems Manager
`Mitsuru Suyama
`
`
`Holding of Briefing on Futures / Options Trading System Update
`
` Thank you for your continued interest in TSE trading systems.
` Based on the TSE trading system replacement plan approved at the Regular Board of Directors Meeting of April
`1996, the preparations for the update of the futures / options system are proceeding with a target of operation in the
`middle of 1998. On this occasion, we have brought together an overview of the new system as well as a (tentative)
`future schedule, and so are holding a briefing on this; please refer to the details below.
` We would be grateful if you could bring this briefing to the attention of your company’s departments, as well as to
`each individual representative.
`
`
`Schedule
`
`
`October 2, 1997 (Thurs), 04:00 p.m. – 05:30 p.m.
`1. Date and Time
`Tokyo Stock Exchange: 2F Main Building (TSE Hall)
`2. Location
`
`Overview of the futures / options trading system update
`3. Subject
`
`4. Number of Attendees Up to 4 (per participant)
`
`
`
` It should be noted that due to the circumstances of the venue, the briefing will be held on two days, October 1st and
`2nd, however the briefing will be of the same content on both days. Due to the capacity of the venue we are only able
`to accept up to four attendees per participant, so please ensure that your departments responsible for stocks and
`bonds make arrangements regarding attendees. In addition, if your representatives are unable to attend, we are able
`to send the documents, so please contact us at the address indicated below.
`
`
`
`Inquiries Regarding this Briefing
`
`Futures / Options Trading System Update Representative, Business Systems Department, Tokyo Stock Exchange
`Sakamoto
`Tel.
`(Switchboard) 3666-0141 (ext. 3036)
`
`
`
`(Direct) 3808-2574
`
`
`End
`
`0014
`
`