of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the requirements under this
deemed that the intermediary has already complied with the requirements under this Notification; (2) order an intermediary to amend, act or omit to act in any way to comply with this Notification or the
benefit of compliance with the requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that
company has complied with the provision in clause 7, it shall be deemed that the management company has waived from the Office as provided in Section 98(7)(b). Clause 11. Management company shall provide
company, if management company has complied with the provision in clause 7, it shall be deemed that the management company has waived from the Office as provided in Section 98(7)(b). Clause 11. Management
person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact approved by the Office if such person can operate as investor contact
revoke the approval as deemed appropriate. (Translation) -6- Clause 9. In cases where there appears later any fact that any capital market personnel who is director or manager of a financial institution
clients’ assets, payment of interest shall not be deemed as a transaction causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to
suspended from making transactions in compliance with the rules of such securities company. For the benefit of providing reports on clients’ assets, payment of interest shall not be deemed as a transaction