explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on
instruction to the date on which the applicant has given the explanation or submitted further documents in full, shall be excluded from the periods specified under Clause 5. Clause 7. A licensee of gold
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place
under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to
. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units
clear, legible or audible. The provision under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of
shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or
may delegate the duty of disposal of the mutual fund’s assets according to (2) of the first paragraph to the management company. Where there is necessary and reasonable ground that the disposal cannot