Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving
Division)
date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as
notification of the SEC Office. Chapter 3 Operation --------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional
tasks including undertaking of any other actions assigned by the administrative panel or the SEC, as the case may be. Division 1 Administrative Proceedings Clause 8. Administrative proceedings shall
1212 The details of the particulars under Clause 11 shall comply with the following rules: (1) an offer for sale of securitized bonds in any case shall be according to the Forms specified in Division 1
certificate of deposit has been assigned investment grade credit rating according to Paragraph 2 of Clause 18/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full
Clause 18/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount. 1.2 in case of deposits or time certificate of deposit, such deposits or certificate of