FGI - FinTech Global Incorporated

Last day of a period during which a client is treated as an amateur investor or a professional investor

FGI has set an “expiry date” for the status of clients treated by the Company as general investors, that is, amateur investors, or as professional investors.

Expiry date: The first August 31 after the date of acceptance

Note that the last day of the period in 1. and 2. below is the “Expiry Date”, and the day on which the change in status is approved in 1. and 2. below is the “Date of Acceptance”.

1. The last day of the period that we treat a Professional Investor (“Professional Investor”) under Article 2, Paragraph 31(4) of the Financial Instruments and Exchange Law (”the Law”) as a client other than a Professional Investor (“Amateur Investor”) in accordance with Article 34, Paragraph 2(3) of the Law and Article 54 of the Cabinet Office Ordinance concerning the Financial Instruments Business (“Cabinet Order”), if that client asks to change his or her status from that of Professional Investor to Amateur Investor and we approve the request

and

2. The last day of the period that we treat an Amateur Investor as a Professional Investor, in accordance with Article 34, section 3(2) of the Law and Article 58 and 63 of the Cabinet Order, if that client asks to change his or her status from that of Amateur Investor to that of Professional Investor and we approve the request

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