on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is

intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or

circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6

clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the

is obliged to deliver the goods in the amount specified in the contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a

any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the

Finance on the condition that the holder shall be able to redeem on a fixed price or a minimum price as specified on the issuance date of such bond. Clause 12 In order to appoint or assign any person to

system prepared on the website of the SEC Office within 7 business days as from the occurrence of such circumstance: (1) persons under Clause 5, Clause 6, Clause 8 and Clause 9 who has to obtain approval

efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the intermediary shall be in accordance with the following rules

record of contravening a regulation or condition related to securities offering in a significant matter; (b) having been rejected by the SEC Office regarding an application for an offer for sale of newly