the purpose of applying for derivatives business license type Sor-1. (10)3 a person who had been permitted to undertake derivatives business in the category of derivatives brokerage under the
An intermediary shall not do any operation constituting conflict of interest as prescribed in Clause 16 unless it is permitted as prescribed in Division 4 of this Chapter. Clause 20 An intermediary
at least the following conditions: (a) raising capital of the REIT is permitted only when it is not contradictory or inconsistent with the intention to establish the REIT and the provisions under the
information security which contains at least the following measures: (1) in case of teleworking or using mobile devices, the security measures shall be properly sufficient for confidential or critical
mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested
; (Translation) 3 (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested assets in