the control and proper operation of the business. Division 3 Compulsory Conditions Clause 14 An intermediary shall notify the details on the scope of function outsourced to a service provider under
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
characteristics of personnel in securities businesses, the Office shall proceed in accordance with the rules and procedures as specified in such notification. Chapter 3 Compulsory Measures ______________________
. prepare compulsory annual fillings, etc. 7) Information and technology (IT) support 8) Recruitment and human resource management 9) Provide legal services, e.g. prepare the Power of Attorney (POA
required such as a compulsory performance lawsuit in cases where the issuer is a financial institution. The disclosure of the description above shall include the information on the court trying the case, the
fulfilled. (Compare the actual financial ratios during the latest accounting period with the compulsory ratios). In case of failure to maintain such compulsory ratios, clarify the impacts and rectifications
ratios during the latest accounting period with the compulsory ratios). In case of failure to maintain such compulsory ratios, clarify the impacts and rectifications. 4.2 Give a forward looking description