Guidelines for Incidental Reporting Through the Financial Services Authority Reporting System in the Capital Market, Derivative Finance, and Carbon Exchange Sectors

COPY REGULATION OF THE BOARD OF COMMISSIONERS MEMBER FINANCIAL SERVICES AUTHORITY REPUBLIC OF INDONESIA NUMBER 8 YEAR 2026 CONCERNING GUIDELINES FOR INCIDENTAL REPORTING THROUGH THE FINANCIAL SERVICES AUTHORITY REPORTING SYSTEM IN THE CAPITAL MARKET, DERIVATIVE FINANCE, AND CARBON EXCHANGE SECTORS BY THE GRACE OF ALMIGHTY GOD THE MEMBER OF THE BOARD OF COMMISSIONERS OF THE FINANCIAL SERVICES AUTHORITY, Considering: that to implement the provisions of Article 2 paragraph (4) Financial Services Authority Regulation Number 9 of 2026 concerning Incidental Reporting Through the Financial Services Authority Reporting System in the Capital Market, Derivative Finance, and Carbon Exchange Sectors (State Gazette of the Republic of Indonesia Year 2026 Number 17/OJK, Supplement to the State Gazette of the Republic of Indonesia Number 200/OJK), it is necessary to stipulate a Regulation of the Board of Commissioners Member of the Financial Services Authority concerning Guidelines for Incidental Reporting Through the Financial Services Authority Reporting System in the Capital Market, Derivative Finance, and Carbon Exchange Sectors; Recalling: 1. Law Number 8 of 1995 concerning the Capital Market (State Gazette of the Republic of Indonesia Year 1995 Number 64, Supplement to the State Gazette of the Republic of Indonesia Number 3608) as last amended by Law Number 4 of 2026 concerning Amendments to Law Number 4 of 2023 concerning the Development and Strengthening of the Financial Sector (State Gazette of the Republic of Indonesia Year 2026 Number 62, Supplement to the State Gazette of the Republic of Indonesia Number 7180); 2. Law Number 21 of 2011 concerning the Financial Services Authority (State Gazette of the Republic of Indonesia Year 2011 Number 111, Supplement to the State Gazette of the Republic of Indonesia Number 5253) as last amended by Law Number 4 of 2026 concerning Amendments to Law Number 4 of 2023 concerning the Development and Strengthening of the Financial Sector (State Gazette of the Republic of Indonesia Year 2026 Number 62, Supplement to the State Gazette of the Republic of Indonesia

• 2 - Number 7180);

3. Financial Services Authority Regulation Number 9 of 2026 concerning Incidental Reporting Through the Financial Services Authority Reporting System in the Capital Market, Derivative Finance, and Carbon Exchange Sectors (State Gazette of the Republic of Indonesia Year 2026 Number 17/OJK, Supplement to the State Gazette of the Republic of Indonesia Number 200/OJK); DECIDES: Stipulates: THE REGULATION OF THE BOARD OF COMMISSIONERS MEMBER OF THE FINANCIAL SERVICES AUTHORITY CONCERNING GUIDELINES FOR INCIDENTAL REPORTING THROUGH THE FINANCIAL SERVICES AUTHORITY REPORTING SYSTEM IN THE CAPITAL MARKET, DERIVATIVE FINANCE, AND CARBON EXCHANGE SECTORS. Article 1 The provisions regarding Incidental Reporting Guidelines in the Capital Market, Derivative Finance, and Carbon Exchange Sectors as listed in: a. Appendix I which contains general guidelines for submitting Incidental Reports through the Financial Services Authority Reporting System by Reporters; b. Appendix II which contains a list of Incidental Reports submitted by Reporters; and c. Appendix III which contains the format and procedures for preparing Incidental Reports, which are an inseparable part of this Regulation of the Board of Commissioners Member of the Financial Services Authority. Article 2 When this Regulation of the Board of Commissioners Member of the Financial Services Authority comes into effect: a. Financial Services Authority Circular Letter Number 20/SEOJK.04/2017 concerning the Implementation of Continuing Education Programs for Members of the Board of Directors and Members of the Board of Commissioners of Securities Companies that Engage in Business Activities as Underwriters and/or Securities Brokers; b. Financial Services Authority Circular Letter Number 14/SEOJK.04/2018 concerning Other Activities for Securities Companies that Engage in Business Activities as Underwriters and Securities Brokers; and c. Financial Services Authority Circular Letter Number 18/SEOJK.03/2023 concerning Procedures for the Use of Public Accountant Services and Public Accounting Firms in Financial Services Activities, are declared to remain valid as long as they do not contradict this Regulation of the Board of Commissioners Member of the Financial Services Authority.

• 3 - This copy conforms to the original Head of Legal Development Directorate Legal Department signed. Aat Windradi Article 3 This Regulation of the Board of Commissioners Member of the Financial Services Authority shall come into force on October 1, 2026. Stipulated in Jakarta on August 4, 2026 CHIEF EXECUTIVE OF SUPERVISION OF CAPITAL MARKET, DERIVATIVE FINANCE, AND CARBON EXCHANGE FINANCIAL SERVICES AUTHORITY REPUBLIC OF INDONESIA, signed. HASAN FAWZI

APPENDIX I REGULATION OF THE BOARD OF COMMISSIONERS MEMBER OF THE FINANCIAL SERVICES AUTHORITY REPUBLIC OF INDONESIA NUMBER 8 YEAR 2026 CONCERNING GUIDELINES FOR INCIDENTAL REPORTING THROUGH THE FINANCIAL SERVICES AUTHORITY REPORTING SYSTEM IN THE CAPITAL MARKET, DERIVATIVE FINANCE, AND CARBON EXCHANGE SECTORS

• 2 - GENERAL GUIDELINES FOR SUBMITTING INCIDENTAL REPORTS THROUGH THE FINANCIAL SERVICES AUTHORITY REPORTING SYSTEM I. GENERAL PROVISIONS In this Regulation of the Board of Commissioners Member of the Financial Services Authority, the following terms are defined as:

1. Capital Market is a part of the financial system related to activities: a. public offerings and securities transactions; b. investment management; c. issuers and public companies related to the securities they issue; and d. institutions and professions related to securities.
2. Party is an individual, legal entity, company, joint venture, association, or organized group.
3. General Meeting of Shareholders, hereinafter abbreviated as GMS, is a general meeting of shareholders as regulated in statutory provisions.
4. Incidental Report is a report prepared for the interest of the Financial Services Authority at a certain time.
5. Reporter is a Party engaged in activities in the Capital Market, derivative finance, and carbon exchange sectors that has the obligation to submit Incidental Reports to the Financial Services Authority in accordance with statutory provisions.
6. Financial Services Authority Reporting System is an information system used as a means for Reporters to submit reports online to the Financial Services Authority. II. SCOPE OF REPORTERS Reporters as referred to in Roman I number 5 are grouped as follows:
7. securities institutions, including: a. stock exchanges; b. clearing and guarantee institutions; c. central depository and settlement institutions; d. market operators; e. alternative market operators; f. securities financing institutions; g. securities pricing institutions; h. investor protection fund operators; and i. know-your-customer principle administration service providers.
8. securities companies licensed as: a. underwriters and/or securities brokers; or b. investment managers.
9. supporting institutions, including: a. investment advisors in the form of companies as mutual fund valuation and investment manager valuation providers; b. custodian banks; and c. trustees.
10. supporting professions, including public accountants;
11. directors and/or board of commissioners members of Reporters as referred to in numbers 1 to 3 above, including those in securities companies engaged in business activities as underwriters or securities brokers; and

• 3 - This copy conforms to the original Head of Legal Development Directorate Legal Department signed. Aat Windradi

6. other Parties, including: a. crowdfunding service providers; b. issuers of asset-backed securities in the form of participation letters; and c. other Parties required to submit Incidental Reports to the Financial Services Authority. III. PREPARATION OF INCIDENTAL REPORTS
7. Reporters submit Incidental Reports and/or corrections to Incidental Reports online through the Financial Services Authority Reporting System, in accordance with obligations as regulated in statutory provisions.
8. The Financial Services Authority Reporting System as referred to in number 1 can be accessed via the website at https://pelaporan.id or other addresses determined by the Financial Services Authority.
9. Reporters prepare Incidental Reports in accordance with: a. the list of Incidental Reports as listed in Appendix II; and b. the format and procedures for preparing Incidental Reports as listed in Appendix III, which are an inseparable part of this Regulation of the Board of Commissioners Member of the Financial Services Authority.
10. Reporters must read and comply with the procedures and methods of using the Financial Services Authority Reporting System contained in the user manual for the Financial Services Authority Reporting System.
11. All documents submitted through the Financial Services Authority Reporting System and/or data stored in the database of the Financial Services Authority Reporting System have legal force equivalent to printed documents.
12. Submission of Issues a. Issues related to the content of Incidental Reports and related provisions shall be submitted to the work unit overseeing the supervisory function of each Reporter. b. Issues related to the Financial Services Authority Reporting System shall be submitted to the Financial Services Authority helpdesk via email address helpdesk@ojk.go.id or telephone 021-29600000 ext. 7000. CHIEF EXECUTIVE OF SUPERVISION OF CAPITAL MARKET, DERIVATIVE FINANCE, AND CARBON EXCHANGE FINANCIAL SERVICES AUTHORITY REPUBLIC OF INDONESIA, signed. HASAN FAWZI

APPENDIX II REGULATION OF THE BOARD OF COMMISSIONERS MEMBER OF THE FINANCIAL SERVICES AUTHORITY REPUBLIC OF INDONESIA NUMBER 8 YEAR 2026 CONCERNING GUIDELINES FOR INCIDENTAL REPORTING THROUGH THE FINANCIAL SERVICES AUTHORITY REPORTING SYSTEM IN THE CAPITAL MARKET, DERIVATIVE FINANCE, AND CARBON EXCHANGE SECTORS

• 2 - LIST OF INCIDENTAL REPORTS Incidental Reports submitted by Reporters through the Financial Services Authority Reporting System in accordance with the List of Incidental Reports as listed in the following table: | No. | Reporter Group | Report Name | Basis of Article Provision | Deadline Arrangement | |---|---|---|---|---| | 1. | Securities Institutions | Stock Exchange | Report on the Implementation of Stock Exchange Share Auctions | Bapepam and LK Regulation Number III.A.11 Point 12 | No later than the 10th (tenth) day of each month after the Stock Exchange conducts its share auction. | | 2. | Securities Institutions | Stock Exchange | Report on the Implementation of GMS | POJK Number 42/POJK.04/2016 Article 10 | No later than 2 (two) working days after the date of the Stock Exchange GMS. | | 3. | Securities Institutions | Stock Exchange | Report on Special Events such as Financial Difficulties of Stock Exchange Members | POJK Number 42/POJK.04/2016 Article 12 | No later than the next day. | | 4. | Securities Institutions | Stock Exchange | Detailed Report on Difficult Conditions Endangering Business Continuity | POJK Number 32 Year 2024 Article 16 paragraph (4) | No later than the same day since the occurrence of such condition. | | 5. | Securities Institutions | Stock Exchange | Action Plan for Resolving Difficult Conditions Endangering Business Continuity | POJK Number 32 Year 2024 Article 18 paragraph (3) | Determined by the Financial Services Authority. |

• 3 - | No. | Reporter Group | Report Name | Basis of Article Provision | Deadline Arrangement | |---|---|---|---|---| | 6. | Securities Institutions | Stock Exchange | Report on the Implementation of the Action Plan for Resolving Difficult Conditions Endangering Business Continuity | POJK Number 32 Year 2024 Article 19 paragraph (2) | No later than 2 (two) working days since the implementation of the resolution action plan. | | 7. | Securities Institutions | Clearing and Guarantee Institutions | Report on the Implementation of GMS | POJK Number 43/POJK.04/2016 Article 9 | No later than 2 (two) days after the date of the Clearing and Guarantee Institution GMS. | | 8. | Securities Institutions | Clearing and Guarantee Institutions | Report on Special Events, such as Financial Difficulties of Users of Clearing and Guarantee Institution Services | POJK Number 43/POJK.04/2016 Article 11 | No later than the next day. | | 9. | Securities Institutions | Clearing and Guarantee Institutions | Detailed Report on Difficult Conditions Endangering Business Continuity | POJK Number 32 Year 2024 Article 16 paragraph (4) | No later than the same day since the occurrence of such condition. | | 10. | Securities Institutions | Clearing and Guarantee Institutions | Action Plan for Resolving Difficult Conditions Endangering Business Continuity | POJK Number 32 Year 2024 Article 18 paragraph (3) | Determined by the Financial Services Authority. |

• 4 - | No. | Reporter Group | Report Name | Basis of Article Provision | Deadline Arrangement | |---|---|---|---|---| | 11. | Securities Institutions | Clearing and Guarantee Institutions | Report on the Implementation of the Action Plan for Resolving Difficult Conditions Endangering Business Continuity | POJK Number 32 Year 2024 Article 19 paragraph (2) | No later than 2 (two) working days since the implementation of the resolution action plan. | | 12. | Securities Institutions | Central Depository and Settlement Institutions | Report on the Existence of a Situation or Obtaining Indications that there are Material Violations of the Operational System and Internal Control of the Central Depository and Settlement Institution | Bapepam and LK Regulation Number III.C.6 Point 2 letter b | - | | 13. | Securities Institutions | Central Depository and Settlement Institutions | Report on the Minutes of the Working Committee Meeting of the Central Depository and Settlement Institution | Bapepam and LK Regulation Number III.C.6 Point 9 letter h | - | | 14. | Securities Institutions | Central Depository and Settlement Institutions | Report on the Implementation of GMS | POJK Number 44/POJK.04/2016 Article 9 | No later than 2 (two) working days after the date of the Central Depository and Settlement Institution GMS. | | 15. | Securities Institutions | Central Depository and Settlement Institutions | Report on Special Events Such as Financial Difficulties of Users of Central Depository and Settlement Institution Services | POJK Number 44/POJK.04/2016 Article 11 | No later than the next working day. |

• 5 - | No. | Reporter Group | Report Name | Basis of Article Provision | Deadline Arrangement | |---|---|---|---|---| | 16. | Securities Institutions | Central Dep

• 11 - | No. | Reporting Group | Report Name | Basis of Provision Article | Deadline Arrangement | |:----|:----------------|:------------|:---------------------------|:---------------------| | 44. | Securities Company, Underwriter and Securities Broker | Report on the Realization of Other Activities | a. OJK Regulation No. 3 of 2026 b. OJK Circular Letter No. 14/SEOJK.04/2018 | a. Article 52 paragraph (1) b. Roman V number 6 | No later than 7 (seven) business days after other activities have been utilized by customers and/or other parties. | | 45. | Securities Company, Underwriter and Securities Broker | Report on Summary of GMS Minutes and Proof of GMS Invitation | OJK Regulation No. 57/POJK.04/2017 | Article 8 paragraph (2) | No later than 7 (seven) business days after the date of the GMS. | | 46. | Securities Company, Underwriter and Securities Broker | Report on Binding Decisions Outside GMS | OJK Regulation No. 57/POJK.04/2017 | Article 9 paragraph (3) | No later than 7 (seven) business days after all shareholders sign the decision outside the GMS. | | 47. | Securities Company, Underwriter and Securities Broker | Report on Indications of Violations of Financial Services Sector Regulations | OJK Regulation No. 57/POJK.04/2017 | Article 26 paragraph (1) | No later than 3 (three) business days since the indication of violation was known. | | 48. | Securities Company, Securities Broker Exchange Member and Regional Securities Company | Report on Addition and Termination of Cooperation with Securities Broker Marketing Partners | OJK Regulation No. 21/POJK.04/2021 | Article 27 paragraph (1) | No later than 7 (seven) business days since the addition and termination of cooperation. | | 49. | Securities Company, Securities Broker | Submission of Material Changes to Operational Standard Procedures | OJK Regulation No. 13 of 2025 | Article 63 paragraph (2) | No later than 7 (seven) days after material changes are made to operational standard procedures. |

• 12 - | No. | Reporting Group | Report Name | Basis of Provision Article | Deadline Arrangement | |:----|:----------------|:------------|:---------------------------|:---------------------| | 50. | Securities Company, Securities Broker | Report on Outsourcing Plan for Bookkeeping Function, Custodian Function, and/or Information Technology Function | OJK Regulation No. 13 of 2025 | Article 84 letter a number 5 point a) | - | | 51. | Securities Company, Investment Manager | Report on Plan for Handover of Information Technology Function, Human Resources Function, and Accounting and Finance Function | OJK Regulation No. 24/POJK.04/2014 | Article 28 letter a | - | | 52. | Securities Company, Investment Manager | Report on Non-Performance of Service Provider Obligations for Information Technology Function, Human Resources Function, and Accounting and Finance Function | OJK Regulation No. 24/POJK.04/2014 | Article 28 letter f | No later than the next business day. | | 53. | Securities Company, Investment Manager | Report on Alleged Violations of Capital Market Regulations | OJK Regulation No. 24/POJK.04/2014 | Article 29 letter d | No later than 7 (seven) business days since the alleged violation was known. |

• 13 - | No. | Reporting Group | Report Name | Basis of Provision Article | Deadline Arrangement | |:----|:----------------|:------------|:---------------------------|:---------------------| | 54. | Securities Company, Investment Manager | Report on Summary of GMS Minutes and Proof of GMS Invitation | OJK Regulation No. 10/POJK.04/2018 | Article 8 paragraph (2) | No later than 7 (seven) business days after the date of the GMS. | | 55. | Securities Company, Investment Manager | Report on Binding Decisions Outside GMS | OJK Regulation No. 10/POJK.04/2018 | Article 9 paragraph (3) | No later than 7 (seven) business days after all shareholders sign the decision outside the GMS. | | 56. | Supporting Institution, Investment Advisor in the form of a Company as a Mutual Fund Valuation Provider and Investment Manager Valuation Provider | Report on Changes in Valuation Methodology | OJK Regulation No. 15 of 2025 | Article 50 paragraph (1) letter b | No later than 7 (seven) business days after the change is made. | | 57. | Supporting Institution, Investment Advisor in the form of a Company as a Mutual Fund Valuation Provider and Investment Manager Valuation Provider | Report on Withdrawal of Valuation Results | OJK Regulation No. 15 of 2025 | Article 50 paragraph (1) letter c | No later than 2 (two) business days after the withdrawal is made. |

• 14 - | No. | Reporting Group | Report Name | Basis of Provision Article | Deadline Arrangement | |:----|:----------------|:------------|:---------------------------|:---------------------| | 58. | Supporting Institution, Investment Advisor in the form of a Company as a Mutual Fund Valuation Provider and Investment Manager Valuation Provider | Report on Changes to Code of Conduct | OJK Regulation No. 15 of 2025 | Article 50 paragraph (1) letter d | No later than 7 (seven) business days after the change is made. | | 59. | Supporting Institution, Investment Advisor in the form of a Company as a Mutual Fund Valuation Provider and Investment Manager Valuation Provider | Report on GMS Agenda | OJK Regulation No. 15 of 2025 | Article 50 paragraph (1) letter e | No later than 14 (fourteen) business days before the GMS invitation. | | 60. | Supporting Institution, Investment Advisor in the form of a Company as a Mutual Fund Valuation Provider and Investment Manager Valuation Provider | Report on Summary of GMS Minutes | OJK Regulation No. 15 of 2025 | Article 50 paragraph (1) letter f | No later than 7 (seven) business days after the date of the GMS. |

• 15 - | No. | Reporting Group | Report Name | Basis of Provision Article | Deadline Arrangement | |:----|:----------------|:------------|:---------------------------|:---------------------| | 61. | Supporting Institution, Custodian Bank | Report on matters contrary to EBA-SP Transaction Documents based on instructions from the Issuer and Trustee | OJK Regulation No. 23/POJK.04/2014 | Article 31 paragraph 2 letters l and m | - | | 62. | Supporting Institution, Trustee | Report on matters contrary to EBA-SP Transaction Documents | OJK Regulation No. 23/POJK.04/2014 | Article 50 | No later than 2 (two) business days since the matter was known. | | 63. | Supporting Institution, Trustee | Report on Changes to Policies and Procedures for Implementing APU, PPT, and PPPSPM Programs | OJK Regulation No. 8 of 2023 | Article 74 paragraph (5) | No later than 7 (seven) business days since the change was made. | | 64. | Supporting Profession, Public Accountant | Report on Significant Violations, and Conditions or Estimated Conditions Endangering Business Continuity | a. OJK Regulation No. 9 of 2023 b. OJK Circular Letter No. 18/SEOJK.03/2023 | a. Article 37 paragraph (3) b. Roman X Number 3 | No later than 3 (three) business days since discovered. | | 65. | Directors and/or Members of the Board of Directors and Members of the Board of Commissioners of Securities Companies engaged in business activities as Underwriters or Securities Brokers | Report on Participation in Continuing Education Program | a. OJK Regulation No. 3 of 2026 b. OJK Circular Letter No. 20/SEOJK.04/2017 | a. Article 38 paragraph (2) b. Roman IV number 1 | No later than 30 (thirty) days from the date the certificate or diploma proving participation in continuing education is received by members of the board of directors and members of the board of commissioners. |

• 16 - | No. | Reporting Group | Report Name | Basis of Provision Article | Deadline Arrangement | |:----|:----------------|:------------|:---------------------------|:---------------------| | 66. | Other Parties, Crowdfunding Service Provider | Report on Changes to Policies and Procedures for Implementing APU, PPT, and PPPSPM Programs | OJK Regulation No. 8 of 2023 | Article 74 paragraph (5) | No later than 7 (seven) business days since the change was made. | | 67. | Other Parties, Crowdfunding Service Provider | Report on Increase in Paid-up Capital | OJK Regulation No. 17 of 2025 | Article 12 paragraph (2) | No later than 10 (ten) business days after the date of the approval letter or receipt of notification of changes to the articles of association by the Minister. | | 68. | Other Parties, Issuer of Asset-Backed Securities in the Form of Participation Letters | Report on Public Offering Results | OJK Regulation No. 23/POJK.04/2014 | Article 42 | Every 15 (fifteen) days from the start of the public offering period until the public offering is completed. |

• 17 - | No. | Reporting Group | Report Name | Basis of Provision Article | Deadline Arrangement | |:----|:----------------|:------------|:---------------------------|:---------------------| | 69. | Other Parties, Issuer of Asset-Backed Securities in the Form of Participation Letters | Report on Material Information or Facts of EBA-SP | OJK Regulation No. 23/POJK.04/2014 | Article 43 | No later than 2 (two) business days since the material information or fact occurred. | | 70. | Other Parties, Issuer of Asset-Backed Securities in the Form of Participation Letters | Report on Trustee Replacement | OJK Regulation No. 23/POJK.04/2014 | Article 44 Paragraph (1) | No later than 5 (five) business days after the appointment of a new Trustee. | | 71. | Other Parties, Issuer of Asset-Backed Securities in the Form of Participation Letters | Report on Custodian Bank Replacement | OJK Regulation No. 23/POJK.04/2014 | Article 45 Paragraph (1) | No later than 5 (five) business days after the appointment of a new Custodian Bank. | | 72. | Other Parties, Issuer of Asset-Backed Securities in the Form of Participation Letters | Report on Dismissal of Trustee and Custodian Bank | OJK Regulation No. 23/POJK.04/2014 | Article 46 | No later than 5 (five) business days after the appointment of a new Trustee and/or Custodian Bank. | | 73. | Other Parties, Issuer of Asset-Backed Securities in the Form of Participation Letters | Plan for Changes to EBA-SP Transaction Documents | OJK Regulation No. 23/POJK.04/2014 | Article 47 | No later than 15 (fifteen) business days before such change. | | 74. | Other Parties, Issuer of Asset-Backed Securities in the Form of Participation Letters | Changes to Agreement Provisions in Material Transaction Documents | OJK Regulation No. 23/POJK.04/2014 | Article 48 | No later than 2 (two) business days after such change is made. |

• 18 - This copy is in accordance with the original Head of Legal Development Directorate Legal Department signed. Aat Windradi | No. | Reporting Group | Report Name | Basis of Provision Article | Deadline Arrangement | |:----|:----------------|:------------|:---------------------------|:---------------------| | 75. | Others | In accordance with the provisions stipulated by the Financial Services Authority. | - | - | CHIEF EXECUTIVE OF CAPITAL MARKET, DERIVATIVE FINANCE, AND CARBON EXCHANGE SUPERVISION FINANCIAL SERVICES AUTHORITY OF THE REPUBLIC OF INDONESIA, signed. HASAN FAWZI

APPENDIX III REGULATION OF THE BOARD OF COMMISSIONERS OF THE FINANCIAL SERVICES AUTHORITY OF THE REPUBLIC OF INDONESIA NUMBER 8 OF 2026 CONCERNING GUIDELINES FOR INCIDENTAL REPORTING THROUGH THE FINANCIAL SERVICES AUTHORITY REPORTING SYSTEM IN THE CAPITAL MARKET, DERIVATIVE FINANCE, AND CARBON EXCHANGE SECTORS

• 2 - CHAPTER I GENERAL EXPLANATION

1. Purpose of Incidental Reporting Through the Financial Services Authority Reporting System Incidental Reports prepared according to the systematics in these guidelines are intended for the purpose of fulfilling the Reporter's obligations for Incidental Reports that need to be submitted through the Financial Services Authority Reporting System in accordance with the provisions of laws and regulations.
2. Report Preparation The Reporter prepares data and/or information to compile Incidental Reports. Each Incidental Report consists of 2 (two) forms that must be filled out with the following details: | No. | Form | Form Name | |:----|:-----|:----------| | 1. | 01.00 | Main Information | | 2. | 02.00 | Supporting Documents | The Reporter compiles Incidental Reports in text file (.txt) format for form 01.00 – Main Information and portable document format (.pdf) for form 02.00 – Supporting Documents.
3. Report Submission a. The Reporter may submit Incidental Reports in 1 (one) submission for different types of Incidental Reports, different event dates, and more than 1 (one) row for each type of Incidental Report. b. For each 1 (one) type of Incidental Report and 1 (one) event date, 1 (one) portable document format (.pdf) document is required for form 02.00 – Supporting Documents. c. The Reporter may submit Incidental Reports at any time (there is no reporting periodicity) through the Financial Services Authority Reporting System in accordance with:

1. deadlines stipulated in laws and regulations; or
2. notification letters from the Financial Services Authority. d. Errors in data and/or information in filling out Incidental Reports, including not submitting data, information, and/or supporting documents. What is meant by not submitting data, information, and/or supporting documents includes:
3. not filling in data and/or information according to the actual conditions;
4. not completing the Incidental Report entries; and/or
5. not completing supporting documents. e. In the event of errors in data and/or information in previously submitted Incidental Reports, the Reporter may only submit corrections to Incidental Reports after:
6. the deadline for submitting Incidental Reports has passed; and
7. the Reporter receives notification from the Financial Services Authority (accompanied by a correction letter number).

• 3 - CHAPTER II INCIDENTAL REPORT FORM I. Format of Form 01.00 – Main Information Form 01.00 MAIN INFORMATION | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | |:----|:----|:----|:----|:----|:----|:----|:----| | Report Code | Event Date | OJK Decision Letter Number | OJK Decision Letter Date | Notary/Local Government Deed Number | Notary/Local Government Deed Date | Authorized Agency Approval Number | Authorized Agency Approval Date | Form 01.00 MAIN INFORMATION | 9 | 10 | 11 | 12 | 13 | 14 | |:----|:----|:-----|:-----|:-----|:-----| | Effective/Start Date | Name of Main Party/Shareholder | NIK/NPWP | Position | Type of Product and/or Activity | Name of Product and/or Activity |

• 4 - Form 01.00 MAIN INFORMATION | 15 | 16 | 17 | 18 | 19 | 20 | 21 | |:----|:----|:-----|:-----|:-----|:-----|:-----| | Office Type | Address | New/Temporary Address | Completion Date | Violation/Dangerous Condition/Specific Condition | Reason/Description | Name of PJTI/Synergistic Party | Form 01.00 MAIN INFORMATION | 22 | 23 | 24 | 25 | 26 | 27 | |:----|:----|:-----|:-----|:-----|:-----| | Register/Reference | Corrective Action | Target Completion Time | Realization | Status | Supporting Document Status |

• 5 - II. Explanation of Form 01.00 – Main Information The explanation for Form 01.00 – Main Information is filled based on the following groups of parties: A. Securities Institutions

1. Report Code Filled with the Incidental Report code according to the Incidental Report submitted, referring to the following code reference: | No. | Report Code | Report Name | |:----|:------------|:------------| | Stock Exchange | | 1. | LE001 | Report on the Implementation of Stock Exchange Share Auctions | | 2. | LE002 | Report on the Holding of GMS | | 3. | LE003 | Report on Special Events such as Financial Difficulties of Stock Exchange Members | | 4. | LE004 | Detailed Report on Difficult Conditions Endangering Business Continuity | | 5. | LE005 | Action Plan for Resolving Difficult Conditions Endangering Business Continuity | | 6. | LE006 | Report on the Implementation of the Action Plan for Resolving Difficult Conditions Endangering Business Continuity | | Clearing and Guarantee Institutions | | 7. | LE007 | Report on the Holding of GMS | | 8. | LE008 | Report on Special Events, such as Financial Difficulties of Users of Clearing and Guarantee Institution Services | | 9. | LE009 | Detailed Report on Difficult Conditions Endangering Business Continuity | | 10. | LE010 | Action Plan for Resolving Difficult Conditions Endangering Business Continuity | | 11. | LE011 | Report on the Implementation of the Action Plan for Resolving Difficult Conditions Endangering Business Continuity | | Depository and Settlement Institutions | | 12. | LE012 | Report on the Existence of a Condition or Obtaining Indications of Material Violations of the Operational System and Internal Control of the Depository and Settlement Institution | | 13. | LE013 | Report on the Minutes of the Working Committee Meeting of the Depository and Settlement Institution | | 14. | LE014 | Report on the Holding of GMS | | 15. | LE015 | Report on Special Events such as Financial Difficulties of Users of Depository and Settlement Institution Services |

• 6 - | No. | Report Code | Report Name | |:----|:------------|:------------| | 16. | LE016 | Detailed Report on Difficult Conditions Endangering Business Continuity | | 17. | LE017 | Action Plan for Resolving Difficult Conditions Endangering Business Continuity | | 18. | LE018 | Report on the Implementation of the Action Plan for Resolving Difficult Conditions Endangering Business Continuity | | 19. | LE019 | Report that the Records of Equity Securities (EBE) that have undergone EBE Dematerialization at the Securities Administration Bureau or Public Companies that Administer their own Securities are the same as the Records of Equity Securities that have undergone EBE Dematerialization at the Depository and Settlement Institution | | Market Organizers | | 20. | LE020 | Report on Daily Securities Transaction Records and Securities Lending and Borrowing Activity Records | | 21. | LE021 | Detailed Report on Difficult Conditions Endangering Business Continuity | | 22. | LE022 | Action Plan for Resolving Difficult Conditions Endangering Business Continuity | | 23. | LE023 | Report on the Implementation of the Action Plan for Resolving Difficult Conditions Endangering Business Continuity | | Alternative Market Organizers | | 24. | LE024 | Report on System Changes | | 25. | LE025 | Report on Violations and Sanctions Imposed on Service Users | | 26. | LE026 | Report on Special Events | | Securities Financing Institutions | | 27. | LE027 | Report on LPE GMS Results | | 28. | LE028 | Report on Failure of Securities Transaction Funding Recipients | | 29. | LE029 | Report on LPE's Failure to Meet Maximum Gearing Ratio Limit | | Securities Price Valuation Institutions | | 30. | LE030 | Report on Material Changes Affecting Company Operations | | Investor Protection Fund Organizers | | 31. | LE031 | Report on Material Changes Affecting PDPP Operations | | 32. | LE032 | Report on GMS Results | | 33

Other parties that are counterparties to Securities Financing Institutions are legal entities. 12. Position Filled with 1 (one) or 2 (two) digit characters in the form of numbers according to the position code of other parties reported by the Reporter as follows:

No.	Position Code
1.	1 President Director
2.	2 Director
3.	3 President Commissioner
4.	4 Commissioner
5.	5 Independent Commissioner
6.	6 Controlling Shareholder
7.	7 Shareholder
8.	8 Sharia Supervisory Board
9.	9 Official One Level Below the Board of Directors
10.	10 Employee

13. Type of Product and/or Activity Filled with 2 (two) digit characters in the form of numbers according to the product and/or activity type code for other parties related to the Reporter, including Financial Services Institutions (LJK) and/or Issuers as follows: | No. | Product and/or Activity Type Code | |:----|:----------------------------------| | 1. | 51 Financial Services Institution | | 2. | 52 Issuer | | 3. | 99 Others |
14. Name of Product and/or Activity Filled with the name of the Financial Services Institution (LJK) and/or Issuer related to the Reporter.
15. Reason/Description Filled with a description of the implementation of activities or code information, namely: a. Description of the implementation of activities, including:

1. implementation of exchange stock auctions for Report Code LE001;

2. holding of GMS at the stock exchange for Report Code LE002, holding of GMS at clearing and guarantee institutions for Report Code LE007, and holding of GMS at depository and settlement institutions for Report Code LE014;

3. special events such as financial difficulties of stock exchange members for Report Code LE003, financial difficulties of users of clearing and guarantee institution services for Report Code LE008, financial difficulties of users of depository and settlement institution services for Report Code LE015, and special events of alternative market organizers for Report Code LE026;

4. conditions of difficulty endangering the continuity of business activities at the stock exchange for Report Code LE004, conditions of difficulty endangering the continuity of business activities at clearing and guarantee institutions for Report Code LE009, conditions of difficulty endangering the continuity of business activities at depository and settlement institutions for Report Code LE016, and conditions of difficulty endangering the continuity of business activities at market organizers for Report Code LE021;

5. action plans to resolve conditions of difficulty endangering the continuity of business activities of the stock exchange for Report Code LE005, action plans to resolve conditions of difficulty endangering the continuity of business activities at clearing and guarantee institutions for Report Code LE010, action plans to resolve conditions of difficulty endangering the continuity of business activities at depository and settlement institutions for Report Code LE017, and action plans to resolve conditions of difficulty endangering the continuity of business activities at market organizers for Report Code LE022;

6. implementation of action plans to resolve conditions of difficulty endangering the continuity of business activities of the stock exchange for Report Code LE006, implementation of action plans to resolve conditions of difficulty endangering the continuity of business activities at clearing and guarantee institutions for Report Code LE011, implementation of action plans to resolve conditions of difficulty endangering the continuity of business activities at depository and settlement institutions for Report Code LE018, and implementation of action plans to resolve conditions of difficulty endangering the continuity of business activities at market organizers for Report Code LE023;

7. circumstances or obtaining indications of material violations of the operational system and internal controls of depository and settlement institutions, for Report Code LE012;

8. working committee meetings of depository and settlement institutions, for Report Code LE013;

9. records of dematerialized equity securities at securities administration bureaus or public companies that administer their own securities are the same as records of dematerialized equity securities at depository and settlement institutions, for Report Code LE019;

10. records of daily securities transactions and records of securities lending and borrowing activities, for Report Code LE020;

11. system changes for Report Code LE024;

12. violations and sanctions imposed on service users, for Report Code LE025;

13. GMS results at securities financing institutions for Report Code LE027 and GMS results at investor protection fund organizers for Report Code LE032;

14. failure of securities transaction financing recipients for Report Code LE028;

15. failure of securities financing institutions to meet the maximum gearing ratio limit for Report Code LE029;

16. material changes affecting the company's operations at securities pricing institutions for Report Code LE030 and material changes affecting the operations of investor protection fund organizers for Report Code LE031;

17. information and data used in the claim handling process up to claim payment along with related documents, for Report Code LE033;

18. results of claim handling implementation with provisions including at least information on the number of customers compensated, total compensation value, remaining Investor Protection Fund (DPP), and plans for subrogation rights implementation, for Report Code LE034;

19. plans for system changes or development including the addition of services and system features that require LAPMN user system adjustments, for Report Code LE035;

20. disruptions causing the LAPMN system to be unusable and follow-up actions being and/or have been taken, for Report Code LE036; and

21. temporary suspension of service provision to LAPMN Users, for Report Code LE037. b. Description in the form of code information, including:

22. LJK Code, for the Stock Exchange Stock Auction Implementation Report (LE001), filled if the Product and/or Activity Type is a Financial Services Institution;

23. Exchange Member Code, Issuer Code, Custodian Bank Code, for Reports on Special Events such as Financial Difficulties of Stock Exchange Members (LE003), Reports on Special Events such as Financial Difficulties of Users of Clearing and Guarantee Institution Services (LE008), Reports on Special Events such as Financial Difficulties of Users of Depository and Settlement Institution Services (LE015), and Special Event Reports (LE026); and

24. Securities Code, for the Failure of Securities Transaction Financing Recipients Report (LE028).

21. Name of PJTI/Synergistic Party Filled with the name of the other party that is the counterparty to the Securities Financing Institution.
22. Corrective Actions Filled with a description of the steps or stages of the action plan, which include: a. actions to be taken by the Reporter in fulfilling the action plan; and/or b. other important information in fulfilling the action plan.
23. Target Completion Time Filled with the target completion date of the action plan.
24. Realization Filled with the realization of the action plan, which includes: a. actions that have been taken by the Reporter in fulfilling the action plan; and/or b. other important information in fulfilling the action plan.
25. Status Filled with 1 (one) digit character in the form of a number according to the status code of the completion of the action plan report and the realization of the action plan as follows: | No. | Status Code | |:----|:------------| | 1. | 1 Completed | | 2. | 2 Not yet completed |
26. Supporting Document Status Filled with 1 (one) digit character in the form of a number according to the code for the presence or absence of required information in supporting documents for report submission as follows: | No. | Status Code | |:----|:----------------------------------------------------| | 1. | 1 Required information is present in supporting documents | | 2. | 2 No required information in supporting documents | B. Securities Companies
27. Report Code Filled with the Incidental Report code according to the Incidental Report submitted by referring to the following codes: Underwriters, Securities Brokers, Investment Managers | No. | Report Code | Report Name | |:----|:------------|:-------------------------------------------------------------------------------------------------| | 1. | PE001 | Report on Changes to Policies and Procedures for Implementing AML, CFT, and PSMFT Programs | | 2. | PE002 | Anti-Fraud Strategy Report |

No.	Report Code	Report Name
3.	PE003	Anti-Fraud Strategy Change Report
4.	PE004	Detailed Report on Conditions of Difficulty Endangering Business Continuity
5.	PE005	Action Plan to Resolve Conditions of Difficulty Endangering Business Continuity
6.	PE006	Report on the Implementation of the Action Plan to Resolve Conditions of Difficulty Endangering Business Continuity
Underwriters, Securities Brokers
7.	PE007	Report on the Realization of Other Activities
8.	PE008	Summary Report of GMS Minutes and Proof of GMS Invitation
9.	PE009	Report on Binding Decisions Outside GMS
10.	PE010	Report on Indications of Violations of Financial Services Sector Regulations
Securities Brokers
11.	PE011	Report on the Addition and Termination of Cooperation with Securities Broker Marketing Partners
12.	PE012	Submission of Material Changes to Standard Operating Procedures
13.	PE013	Report on Plans for Outsourcing Bookkeeping, Custodian, and/or Information Technology Functions
Investment Managers
14.	PE014	Report on Plans for Handing Over the Implementation of Information Technology, Human Resources, and Accounting and Finance Functions
15.	PE015	Report on Non-Performance of Service Provider Obligations for the Implementation of Information Technology, Human Resources, and Accounting and Finance Functions
16.	PE016	Report on Alleged Violations of Capital Market Regulations
17.	PE017	Summary Report of GMS Minutes and Proof of GMS Invitation
18.	PE018	Report on Binding Decisions Outside GMS

2. Date of Incident Filled with the date of the event or incident that requires the Reporter to submit a report or the date on which the Reporter is first required to submit a report in accordance with statutory provisions, by referring to the following codes: Underwriters, Securities Brokers, Investment Managers | No. | Report Code | Date of Incident | |:----|:------------|:-------------------------------------------------------------------------------------------------| | 1. | PE001 | Filled with the date of change in policies and procedures for implementing AML, CFT, and PSMFT programs | | 2. | PE002 | Filled with the date the securities company obtained a license from OJK | | 3. | PE003 | Filled with the date the securities company changed its anti-fraud strategy | | 4. | PE004 | Filled with the date of conditions of difficulty endangering business continuity | | 5. | PE005 | Filled with the date of the Financial Services Authority's request to submit an action plan | | 6. | PE006 | Filled with the date of implementation of the action plan to resolve conditions of difficulty endangering business continuity | Underwriters, Securities Brokers | 7. | PE007 | Filled with the date when other activities have been utilized by customers and/or other parties | | 8. | PE008 | Filled with the date of the GMS | | 9. | PE009 | Filled with the date when all shareholders signed binding decisions outside the GMS | | 10. | PE010 | Filled with the date when indications of violations of financial services sector regulations were known | Securities Brokers | 11. | PE011 | Filled with the date of addition and termination of cooperation with securities broker marketing partners | | 12. | PE012 | Filled with the date of material changes to standard operating procedures | | 13. | PE013 | Filled with the date of the plan to outsource bookkeeping, custodian, and/or information technology functions | Investment Managers | 14. | PE014 | Filled with the date of the plan to hand over the implementation of information technology, human resources, and accounting and finance functions | | 15. | PE015 | Filled with the date of non-performance of obligations by the service provider for the implementation of |

No.	Report Code	Date of Incident
		information technology, human resources, and accounting and finance functions
16.	PE016	Filled with the date when alleged violations of Capital Market regulations were found
17.	PE017	Filled with the date of the GMS
18.	PE018	Filled with the date when all shareholders signed binding decisions outside the GMS

3. OJK Decree Number Filled with the number of the decree or approval letter issued by the Financial Services Authority.

4. OJK Decree Date Filled with the date of issuance of the decree or approval letter by the Financial Services Authority.

5. Date of Approval by Authorized Institution Filled with the date of issuance of the approval letter by the authorized institution.

6. Effective Date/Start Date Filled with the effective date or start date of the event or incident.

7. Name of Main Party or Shareholder Filled with the full name of the board of directors members, board of commissioners members, and/or employees as other parties reported by the Reporter.

8. NIK/NPWP Filled with the National Identity Number (NIK) if the other party reported is an individual or the Taxpayer Identification Number (NPWP) if the other party reported is a legal entity.

9. Position Filled with 1 (one) or 2 (two) digit characters in the form of numbers according to the position code of other parties reported by the Reporter as follows: | No. | Position Code | |:----|:--------------| | 1. | 1 President Director | | 2. | 2 Director | | 3. | 3 President Commissioner | | 4. | 4 Commissioner | | 5. | 5 Independent Commissioner | | 6. | 6 Controlling Shareholder | | 7. | 7 Shareholder | | 8. | 9 Official One Level Below the Board of Directors | | 9. | 10 Employee |

10. Violations/Endangering Conditions/Specific Conditions Filled with 1 (one) digit character in the form of a number according to the violation code with the following reference: | No. | Violation/Endangering Condition/Specific Condition Code | |:----|:--------------------------------------------------------| | 1. | 1 If there are violations of statutory regulations |

11. Reason/Description Filled with a description of the implementation of activities or violations, namely: a. Description of the implementation of activities, including:

1. description of changes to policies and procedures for implementing AML, CFT, and PSMFT programs, for Report Code PE001;
2. background of anti-fraud strategy changes, for Report Code PE003;
3. conditions of difficulty endangering the continuity of business activities of securities companies for Report Code PE004;
4. action plans to resolve conditions of difficulty endangering the continuity of business activities of securities companies for Report Code PE005;
5. implementation of action plans to resolve conditions of difficulty endangering the continuity of business activities of securities companies for Report Code PE006;
6. description of the implementation of other activities, for Report Code PE007;
7. GMS results, for Report Codes PE008 and PE017;
8. results of binding

• 21 - No. Code of Violation/Dangerous Condition/Specific Condition

4. 6 conditions or estimated conditions that may endanger the business continuity of other Parties
5. 9 Others
6. Reason/Description Filled with a description of the violation/dangerous condition for Report Code PP001, including: a. perpetrator of the violation, act of violation, violated provisions, impact of the violation, frequency of violation occurrence; b. weaknesses in the control of the process of preparing and presenting financial reports of other Parties; c. weaknesses in the internal control of other Parties; and/or d. conditions or estimated conditions that may endanger the business continuity of other Parties.
7. Supporting Document Status Filled with a 1 (one) digit character in the form of a number according to the code for the presence or absence of information required in the supporting document for submitting the report as follows: No. Code Status
8. 1 Information required in supporting documents is available
9. 2 No information required in supporting documents E. Directors and/or Board of Commissioners
10. Report Code Filled with the Incidental Report code according to the Incidental Report submitted by referring to the code reference as follows: No. Report Code Report Name
11. DK001 Report on Participating in Continuing Education Programs
12. Date of Incident Filled with the date of the event or incident that requires the Reporter to submit a report or the date on which the Reporter is required to submit a report in accordance with the provisions of laws and regulations, by referring to the code reference as follows: No. Report Code Date of Incident
13. DK001 Filled with the date of receipt of the certificate or charter as proof of participation in the continuing education program attended by members of the board of directors and members of the board of commissioners of securities companies conducting business activities as

• 22 - No. Report Code Date of Incident underwriters or securities brokers

27. Supporting Document Status Filled with a 1 (one) digit character in the form of a number according to the code for the presence or absence of information required in the supporting document for submitting the report as follows: No. Code Status
28. 1 Information required in supporting documents is available
29. 2 No information required in supporting documents F. Other Parties
30. Report Code Filled with the Incidental Report code according to the Incidental Report submitted by referring to the code reference as follows: No. Report Code Report Name
31. LL001 Report on Changes to Policies and Procedures for Implementing APU, PPT, and PPPSPM Programs
32. LL002 Report on Increase in Paid-up Capital
33. LL003 Report on Public Offering Results
34. LL004 Report on Material Information or Facts of EBA-SP
35. LL005 Report on Replacement of Trustee
36. LL006 Report on Replacement of Custodian Bank
37. LL007 Report on Dismissal of Trustee and Custodian Bank
38. LL008 Plan for Changes to EBA-SP Transaction Documents
39. LL009 Changes to Material Agreement Provisions in Transaction Documents
40. Date of Incident Filled with the date of the event or incident that requires the Reporter to submit a report or the date on which the Reporter is required to submit a report in accordance with the provisions of laws and regulations, by referring to the code reference as follows: No. Report Code Date of Incident
41. LL001 Filled with the date of change to policies and procedures for implementing APU, PPT, and PPPSPM programs
42. LL002 Filled with the date of the approval letter or receipt of notification of changes to the articles of association by the Minister
43. LL003 Filled with the date the public offering period begins or the date after 15, 30, 45 days

• 23 - No. Report Code Date of Incident and so on from the start of the public offering until the public offering is completed

4. LL004 Filled with the date of occurrence of material information or facts of EBA-SP
5. LL005 Filled with the date of appointment of a new trustee
6. LL006 Filled with the date of appointment of a new custodian bank
7. LL007 Filled with the date of appointment of a new trustee and/or custodian bank
8. LL008 Filled with the date changes to EBA-SP transaction documents are made
9. LL009 Filled with the date of changes to material agreement provisions in transaction documents
10. Reason/Description Filled with a description of the implementation of activities, namely: a. changes to policies and procedures for implementing APU, PPT, and PPPSPM programs carried out by organizers of securities offerings through information technology-based crowdfunding services, for Report Code LL001; and b. amount of increase in paid-up capital, for Report Code LL002.
11. Supporting Document Status Filled with a 1 (one) digit character in the form of a number according to the code for the presence or absence of information required in the supporting document for submitting the report as follows: No Code Status
12. 1 Information required in supporting documents is available
13. 2 No information required in supporting documents III. Form 02.00 – Supporting Documents The Reporter submits supporting documents in accordance with the documents and/or report formats required by laws and regulations. For each 1 (one) type of Incidental Report, the Reporter prepares 1 (one) supporting document file in (.pdf) format containing all documents required by laws and regulations.

• 24 - CHAPTER III FILLING OUT INCIDENTAL REPORTS

1. Form Filling The Reporter submits Incidental Reports by filling in data and/or information in form 01.00 – Main Information. The table below explains, by group, the columns in form 01.00 – Main Information that are mandatory (marked with “v”) to be filled in and supplemented with supporting documents by the Reporter.
2. Column Description Column names by group refer to Chapter II Explanation of Incidental Report Form. a. Securities Institutions No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27
3. Report on Implementation of Stock Exchange Share Auction LE001 v
4. Report on Holding GMS LE002 v
5. Report on Special Events such as Financial Difficulties of Stock Exchange Members LE003 v
6. Detailed Report on Difficult Conditions Endangering Business Continuity LE004 v
7. Action Plan for Resolving Difficult Conditions Endangering

• 25 - No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 Business Continuity LE005 v

6. Report on Implementation of Action Plan for Resolving Difficult Conditions Endangering Business Continuity LE006 v
7. Report on Holding GMS LE007 v
8. Report on Special Events, such as Financial Difficulties of Clearing and Guarantee Institution Service Users LE008 v
9. Detailed Report on Difficult Conditions Endangering Business Continuity LE009 v
10. Action Plan for Resolving Difficult Conditions Endangering Business Continuity LE010 v
11. Report on Implementation

• 26 - No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 Action Plan for Resolving Difficult Conditions Endangering Business Continuity LE011 v

12. Report on the Existence of a Condition or Obtaining an Indication that there is a Material Violation of the Operational System and Internal Control of the Depository and Settlement Institution LE012 v
13. Report on Minutes of Meeting of the Working Committee of the Depository and Settlement Institution LE013 v
14. Report on Holding GMS LE014 v
15. Report on Special Events such as Financial Difficulties of Depository and Settlement Institution Service Users LE015 v

• 27 - No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27

16. Detailed Report on Difficult Conditions Endangering Business Continuity LE016 v
17. Action Plan for Resolving Difficult Conditions Endangering Business Continuity LE017 v
18. Report on Implementation of Action Plan for Resolving Difficult Conditions Endangering Business Continuity LE018 v
19. Report that Equity Securities Records (EBE) that have been Dematerialized EBE at the Securities Administration Bureau or Public Companies that Administer Their Own Securities are the same as Records

• 28 - No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 of Equity Securities that have been Dematerialized EBE at the Depository and Settlement Institution LE019 v

20. Report related to Daily Securities Transaction Records and Securities Lending and Borrowing Activity Records LE020 v
21. Detailed Report on Difficult Conditions Endangering Business Continuity LE021 v
22. Action Plan for Resolving Difficult Conditions Endangering Business Continuity LE022 v
23. Report on Implementation of Action Plan for Resolving Difficult Conditions Endangering Business Continuity LE023 v

• 29 - No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27

24. Report on System Changes LE024 v
25. Report on Violations and Sanctions Imposed on Service Users LE025 v
26. Report on Special Events LE026 v
27. Report on GMS Results of LPE LE027 v
28. Report on Failure of Securities Transaction Funding Recipient LE028 v
29. Report on LPE's Failure to Meet Maximum Gearing Ratio LE029 v
30. Report on Material Changes Affecting Company Operations LE030 v
31. Report on Material Changes Affecting PDPP Operations LE031 v
32. Report on GMS Results LE032 v
33. Report on Information and Data Used in the Claim Handling Process Up to Claim Payment

• 30 - No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 Along with Related Documents LE033 v

34. Report on Results of Claim Handling Implementation LE034 v
35. Report on Plan for System Changes or Development Including Addition of Services and System Features Requiring LAPMN User System Adjustments LE035 v
36. Report on Disruptions Causing LAPMN System to be Unusable and Follow-up Resolution Being and/or Having Been Carried Out LE038 v
37. Report on Temporary Suspension of Service Provision to LAPMN Users LE037 v

• 31 - b. Securities Companies No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27

1. Report on Changes to Policies and Procedures for Implementing APU, PPT, and PPPSPM Programs PE001 v
2. Report on Anti-Fraud Strategy PE002 v
3. Report on Changes to Anti-Fraud Strategy PE003 v
4. Detailed Report on Difficult Conditions Endangering Business Continuity PE004 v
5. Action Plan for Resolving Difficult Conditions Endangering Business Continuity PE005 v
6. Report on Implementation of Action Plan for Resolving Difficult Conditions Endangering Business Continuity PE006 v
7. Report on Realization of Other Activity Implementation PE007 v

• 32 - No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27

8. Report on Summary of GMS Minutes and Proof of GMS Call PE008 v
9. Report on Binding Decisions Outside GMS PE009 v
10. Report on Indications of Violations of Laws and Regulations in the Financial Services Sector PE010 v
11. Report on Addition and Termination of Cooperation with Securities Broker Marketing Partners PE011 v
12. Submission of Material Changes to Operational Standard Procedures PE012 v v
13. Report on Plan for Outsourcing Bookkeeping Function, Custodian Function, and/or Information Technology Function PE013 v
14. Report on Plan for Handover of Information Technology Function Implementation,

• 33 - No. Report Name 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 Human Resources Function, and Accounting and Finance Function PE014 v

15. Report on Non-Fulfillment of Service Provider Obligations for Implementation of Information Technology Function, Human Resources Function, and