assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the clients; 5 Clause 9
suitability for investment and the relevant risk exposure. If you are in any doubt as to the action you should take, you should consult your legal, financial, tax, or other professional adviser. A copy of this
from a guaranteed fund? (2) Is there a possibility that investors may not receive the return of the principal, and how? (3) What are the terms and mechanism for protecting the principal of the mutual
as specified in the fund’s article. In cases where there is any doubt in information or rule specified in the fund’s article, even it is trivial, the management company should immediately inquire the
termination of an employee’s membership (a) Information for calculation of such payment should be verified for correctness and completeness as specified in the fund’s article. In cases where there is any doubt
about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting the client ’s asset which is under the following rules: (a) in case the client ’s
. Covenants Relating to the Issuance of the Debt Securities 1. Provide information of the covenants that are aimed at protecting debt securities holders, under which the issuer is required to take or refrain
investment decisions, and the measures for protecting the investors. In this regard, the SEC Office may specify an additional requirement for the applicant to comply with. Clause 13 In the case where the
constitutes a reasonable doubt, the Office may not grant the approval on the establishment of the fund: (1) the fund filed for the approval on the establishment has features or form that are in accordance with