client’s assets, as well □ 1. □ (1) □ (2) □ 2. □ (1) □ (2) □ 3. □ (1) □ (2) □ (3) □ (3.1) □ (3.2) (Translation) Particulars For the SEC Officer as related information and documents and controlling system for
shareholders. ✓ ✓ ✓ Form for notifying the change of document storage (Form 89/15-3). ✓ ✓ Other information regarding the disclosure documents, letters of acknowledgement of obligations, or written
customer. Clause 19. Derivatives broker shall arrange to have information or documents or evidence used for opening of the account sufficiently to identify the customer’s financial condition, debt repayment
to have information or documents or evidence used for opening of the account sufficiently to identify the customer’s financial condition, debt repayment capability, objective of investment and
submit information and documents evidence as per the form and procedures provided in the Office’s electronic work system, and shall pay the application fee for approval to be investor contact according to
applicant shall submit information and documents evidence as per the form and procedures provided in the Office’s electronic work system, and shall pay the application fee for approval to be investor contact
such assets, and for internal control to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for
to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for controlling the inflow and outflow of