documents and evidence as considered appropriate within the time as specified by (Translation) 4 the Office. If the applicant fails to comply or proceed as being required, the Office shall deem that such
newly issued shares under this Notification contains a part of the total shares of such initial public offering. The offering under Paragraph 1 shall be made in order to register such newly issued shares
by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset value or
shares issued by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset
to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in
instruments within an appropriate time. A securities company shall not declare its intention to use a client’s rights and benefits without the client’s order or consent given in writing. Chapter 2 Record
from any securities or instruments owned by the clients which are under its custody from the issuers of such securities or instruments within an appropriate time. A securities company shall not declare
of securities company, or the issuer within appropriate time. A securities company shall not claim the benefits of the client without an order or consent of the client in writing. CHAPTER II Record of