for the Type D license under the specified requirements; for example, their businesses must be relevant, supportive or beneficial to the applying securities business without any conflicts of interest
rational investment decisions but their decisions are usually influenced by several factors and restrictions; emotion, beliefs and biases, for example. Those factors and restrictions cause investors to
system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders
. ?Developing infrastructure is essential and expensive. The private sector should be allowed to take part in the process through an infrastructure fund. For example, to support the government?s energy policy
rules pertaining to sustainability-themed bonds as well as sustainability issues before and after the offering in line with international standards, for example, the use of the proceeds of the bond for
issued and sold in other countries. Other rules have also been relaxed; for example, investors are currently allowed to hedge against their investment including derivatives with underlying foreign assets
disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35
. (For example, Business A and Business B generate 65 percent and 35 percent of the total income respectively, and the clarification thereof is made with reference to the relevant notes to the financial
regulations as well as ethics and professional standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the
standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office