The following provides information on the “deadline” related to the Professional Investor regime under the Financial Instruments and Exchange Act (including cases where it is applied mutatis mutandis by other laws and regulations).

Overview of the Regime

The Act regulates investment products. Applying identical regulations to all investors can be impractical; therefore, as part of regulatory flexibility, investors are categorized into “professional investors,” who are deemed capable of appropriate risk management in financial transactions based on their knowledge, experience, and financial standing, and “general investors,” who are not.

Stronger sales and solicitation rules are applied to general investors to ensure investor protection, while the rules are relaxed for professional investors to facilitate smoother capital management. Additionally, there are categories of professional investors who may transition to general investors and general investors who may transition to professional investors. Eligible investors may choose either status if certain conditions are met.

Transition Procedures

Transitions between professional and general investor status are conducted on a per-contract basis.

When transitioning from professional to general investor, there is no time limit to the transition period. However, upon the client’s request and our consent, the client may revert to professional investor status at any time.

When transitioning from general to professional investor, the transition period is in principle one year. If a “deadline” (the last day of the transition period) is specified, renewal is required based on that deadline even if one year has not elapsed since the transition.

Clients who have transitioned from general to professional investor status may revert to general investor status at any time upon their request and our consent, even before the end of the transition period.

Please note that transitions from general to professional investor status may be declined depending on the results of our internal review.

Deadline

We designate the last day of August each year as the deadline.
If you have any questions, please contact your usual Alpha Edge Capital Co., Ltd. representative.

(As of October 1, 2025.)