securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in part that involves with the securities company
the Office and the guidelines provided by securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in
submit any necessary document or report in the interest of the consideration of the derivatives broker ’s ability to maintain its net capital during such period as it deems appropriate. Clause 3 A
period as it deems appropriate. Clause 3 A derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4
Paragraph 1 to submit any necessary document or report in the interest of the consideration of the derivatives broker’s ability to maintain its net capital during such period as it deems appropriate. Clause 3
securities company under the first paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the ability to maintain net capital [and net capital ratio
submit any necessary document or report within the appropriate period for the purpose of considering the ability to maintain net capital [and net capital ratio] of the securities company. Clause 5 This
Financial Condition of Licensed Derivatives Brokerage. The SEC Office is empowered to require the securities company under the first paragraph to submit any necessary document or report within the appropriate
revoke the approval as deemed appropriate. (Translation) -6- Clause 9. In cases where there appears later any fact that any capital market personnel who is director or manager of a financial institution