01/09/2009 12. Notification of Capital Market Supervisory Board 63/2552 Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment Units
concerning Rules for Delivery and Distribution of Prospectus and Offering of Investment Units and the Notifications of the Office of the Securities and Exchange Commission, guidelines, orders and circulars
for investment in investment units section that the investors can examine the guidelines for the exercise of voting rights as well as the implementation of the exercise of voting rights according to the
warnings and recommendation for investment in investment units section that the investors can examine the guidelines for the exercise of voting rights as well as the implementation of the exercise of voting
the category of derivatives brokerage which is securities company in the category of securities brokerage or securities dealing not limited to debt securities or investment units;” (3) “derivatives
, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in the category of
securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in
deceive the company into transferring money to his and other persons? banking accounts as well as embezzling the company?s securities and money obtained from selling NIPPON?s investment units at the total