approved mutual fund manager, such person shall proceed in accordance with the rules as prescribed in the first paragraph hereof. If any person, who has been granted an approval to act as a mutual fund
shall proceed in accordance with the rules as prescribed in the first paragraph hereof. If any person, who has been granted an approval to act as a mutual fund manager, fails to comply with the rules as
consent of the client in writing in each case. Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody
. (Translation) -4- Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody of securities company, or the
of specific risk in this clause mutatis mutandis . Clause 23. Derivatives broker shall have examination system to ensure that the person order derivatives broker to proceed with the customer property
broker shall have examination system to ensure that the person order derivatives broker to proceed with the customer property is the actual owner of the account or is the person who is authorized in
operator shall proceed as follows: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign
advice for clients. Clause 13/16 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business operator shall proceed as follows