risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed
risks, the SEC deems it is necessary to issue a more specific and detailed Notification concerning the practical implications for securities companies to ensure that there is no adverse impact on the
with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed Notification concerning the practical implications
therefore necessary to issue this Notification.
deemed appropriated to issue this Notification. Qualifications of the Applicant for Approval of Category A Investor Contact As referred in the first paragraph of Clause 4 of the Notification of the SEC
give force to a securities company, so it is deemed appropriated to issue this Notification. (UNOFFICIAL TRANSLATION) Qualifications of the Applicant for Approval of Category A Investor Contact As
in a management company which apply only to the Manager or equivalent positions, it is therefore necessary to issue this Notification.