the management company on behalf of the open-end fund. (Translation) 5 Clause 6. The management company shall be responsible for various expenses incurred from the incorrect unit price, e.g., expenses
is responsible for the management of its proprietary account from the unit which operates the securities borrowing and lending service for customers. In the case where the business operator under the
securities borrowing and lending business, in the case where the business operator has a proprietary account, the business operator shall separate the unit which is responsible for the management of its
responsible for the management of its proprietary account from the unit which operates the securities borrowing and lending service for customers. In the case where the business operator under the first
a clearly statement that the securities company is not allowed to give an advice concerning securities investment to customer. Clause 8. The securities company shall appoint a person responsible for
allowed to give an advice concerning securities investment to customer. Clause 8. The securities company shall appoint a person responsible for managing the online branch office. Such person may be an
trading in derivatives contract to customer. Clause 8. The derivatives broker shall appoint a person responsible for managing the online branch office. Such person may be an officer from the head office or
not allowed to give an advice concerning derivatives contract or suitability of trading in derivatives contract to customer. Clause 8. The derivatives broker shall appoint a person responsible for