] preventing leaking of inside information between units and personnel, [iii] internal control and [iv] risk management for operation of derivatives business in the category to be commenced, including measure
operation of securities business in the category to be commenced including measure for controlling and monitoring the compliance with the policy and measures set in place; (c) operational system promptly for
(Chinese wall). By at least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear
information of units and personnel of the securities company (Chinese wall). By at least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the
mechanism or measure which render the securities underwriter to perform duties independently: (1) in case the securities underwriter, or parent company or subsidiary company of the underwriter is the sponsor
/1 4 The underwriting of REIT unit by a securities underwriter in the following cases shall be prohibited, except where such underwriter is able to demonstrate to the SEC Office a mechanism or measure
(loss) or any other performance measure or as an alternative to cash flow from operating activities. Since there are various calculation methods, its presentation may not be comparable to similarly titled
’ understanding that there is a preventive measure against using inside information. 9.5 Investment consideration and REIT management: (1) specify procedure and factor for investment consideration; (2) for
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work