regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case there is an occurrence affecting the preventing
denominated in foreign currency , as well as being permitted to provide information or advice in accordance with the law which controls the business operation in the respective foreign country; (2) there is no
) there is no ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the capital products
foreign country; (2) there is no ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the
the business operation in the respective foreign country; (2) there is no ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the
securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different
having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different depositors, or between a depositor’s house
have in place a securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts
report at the head office for the period of no less than five years as from the last date of that calendar year for inspection by the Office. Clause 14. In the case where there is such error with the