evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5- derivatives broker to examine or inspect promptly, and also for the Office and auditor of
- derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to examine as requested. Clause 11. In case where the Office sees appropriate, derivatives broker
clearing and settlement related to or because of a client’s derivatives trading. The benefits, the controlling power or the financial support under Paragraph 1 may arise from an agreement, an understanding
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with
evidence of service provider. Such keeping shall be readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine
Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (MMOU), or a regulatory agency on securities or derivatives which has already signed memorandum of
in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes
inspection as follows: (1) Communicate with the related personnel to be aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2