) Probation; (Translation) - 7 - (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any applicant seeking
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
efficiently use within appropriate time, including having security system sufficient to prevent an access or amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange
derivatives business, both in document or electronic format, are accurate, complete, can be able to efficiently use within appropriate time, including having security system sufficient to prevent an access or
issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and