each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall

Notification of the Securities and Exchange Commission Re: Rules and Period for Submitting a Report of the Securities Company, dated 18 May 1992, the Office of the Securities and Exchange Commission hereby

for such place as prescribed in topic of Physical Security. [M] · In necessary case for keeping information in a long period, it should concern the method for bring the information to operate in the

trading at the intermediary’s place of business for a period of not less than five years from the date of investment in a manner that supports an inspection by the SEC Office without delay. Chapter 2

have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file

: Permission for the Management Company to Take Purchasing Order or Selling Order of Investment Unit of Mutual Fund from Customer Outside the Place of Business of the Investment Management Company, dated 21

seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit

specific information regarding work place location, time period of work, position, scope of work and responsibility, and proportion of time working for asset custody function to the total time of working

long term, such as damage on building or place of business or branches, a failure of information technology system, inaccessibility or unusability of building or personnel unable to come for work in both

an efficient and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; (4