effective policy and measures for prevention of conflicts of interest. (Translation) -3- Clause 4. The management company shall submit to the Office the following information relating to its property fund
information among borrowers, lenders and other market participants; Independence and conflicts of interest CRA rating decisions should be independent and free from political or economic pressures and from
), date of birth, citizenship, sex, marital status, father’s name/mother’s name, (former) titles, (former) surnames, name of spouse, etc. Contact information: Information for contact purposes, including
sufficient securities, in case the securities company or its client has not yet received ETF units or underlying shares of ETF from purchasing order. Clause 8 A securities company shall keep the information
the information and prepare report relating to short selling as stipulated by the Notification of the SEC Office. Clause 9 All Notifications of the Office of the Securities and Exchange Commission
units or underlying shares of ETF from purchasing order. Clause 8 A securities company shall keep the information and prepare report relating to short selling as stipulated by the Notification of the SEC
establishment or other relevant places for inspection of facts relating to the financial condition, operations, assets and other relevant information of the applicant. Clause 71 The SEC Office shall submit the
manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to
is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an offer for sale