be used by any person. Clause 14 A securities company shall confirm a securities trading transaction with its counterparty in writing within an appropriate time after making an agreement to trade
following actions; (1) Warning; (2) Probation; (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any
) Probation; (Translation) - 7 - (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any applicant seeking
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
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
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 Particulars of Client’s Assets
efficiently use within appropriate time, including having security system sufficient to prevent an access or amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange