otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of
director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
report shall be made every thirty days until the proceeding to the solution is deemed final, unless otherwise specified by the SEC Office. Clause 5 Any Notifications of the Office of the Securities and
be made every thirty days until the proceeding to the solution is deemed final, unless otherwise specified by the SEC Office. Clause 5 Any Notifications of the Office of the Securities and Exchange
head of department or a person holding any equivalent position, otherwise called by a different name but in charge of a line of work relating to the securities business. (UNOFFICIAL TRANSLATION) 2 (2) In