securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
possible damage. In this case, the responsibilities of personal and units shall be appropriately divided; (d) arrange to have information and communication system related to business conduct with internal
Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is comprising of, at
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
accepted accounting principles. The company did not arrange the assessment of value and quantity of small-sized gas cylinders and record allowances for impairment in accordance with generally accepted
announced those analysis. (7) 2 “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s information, internal
announced those analysis. (7)2 “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s information, internal
securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities