, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer
system relating to operational management, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of
obtain licenses to undertake all types of securities business but not including financial institutions established by any other law which have obtained securities business licenses. Clause 4 A securities
details for implementation by the personnel or person assigned to operate the business; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the event of
management company who manages the mutual fund under its supervision more than five percent of the outstanding shares, including shares held by connected persons of such fund supervisor; (3) Do not have the
who manages the mutual fund under its supervision more than five percent of the outstanding shares, including shares held by connected persons of such fund supervisor; (3) Do not have the same persons