to cause damage or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the applicant has any deficiency or
except where such position does not cause any conflicts of interest with management of funds. Clause 5. The management company shall submit to the Office the following documents relating to its fund
competition with the operation of the management company except where such position does not cause any conflicts of interest with management of funds. Clause 5. The management company shall submit to the Office
not cause any conflicts of interest or has established effective policy and measures for prevention of conflicts of interest. (Translation) -3- Clause 5. The management company shall submit to the
from change of value of securities or collateral which may cause the client to suffer loss or be required to deposit more collateral; (2) actions to be taken by the securities companies in cases where
following matters: (1) risks arising from change of value of securities or collateral which may cause the client to suffer loss or be required to deposit more collateral; (2) actions to be taken by the
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5