Crisis Management Efforts - Self-regulatory

Contingency Plan for Cases Including System Failure (“CP”)

To clarify in advance what the response to situations affecting the continuation of trades at the Exchange would be, TOCOM has recently formulated the “Contingency Plan for Cases Including System Failure” and the “Handling of System Failures, Etc. for Transactions in the Current Contract Month on the Last Trading Day (including Options Transactions in the current contract month on the Last Trading Day) when the Resuming of the Trading Session on the Same Day Became Difficult,” which is based on the CP. The objective of these procedures is to limit the effects of unforeseeable situations, such as the discontinuation of trades on the TOCOM Market due to system failure, natural disaster (i.e: earthquake, wind and flood damage etc.), act of terrorism, stoppage of utility services or other factor, within TOCOM or at a related external organization.

The CP, which was approved at the Board of Directors meeting held on May 15, 2007, is outlined in the “Contingency Plan for Cases Including System Failure" etc. and is the result of the Exchange’s systematic readjustment and review of crisis management measures, etc. in case of emergencies, since the launch of TOCOM’s electronic trading system on April 1, 1991 up to this day.

Business Continuity Plan (“BCP”)

TOCOM has established a Business Continuity Plan (BCP) to handle any disaster situation, in order to minimize any effects on participants and to ensure a prompt and effective recovery to normal business.

The Exchange has published an overview of said business continuity policies to inform our participants and the public of its general contents.

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