witness or expert witness; (4) requesting any person to submit relevant documents in such person’s possession; (5) conducting an on-site inspection. The alleged person shall cooperate with the authority in
follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which
documents which are in accordance with the form and procedure provided on the website of the SEC Office: (a) An application and supplementary documents; (b) A letter certifying that the person has
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only
to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for controlling the inflow and outflow of
percent of the general liabilities and collateral (if any): (a) not keeping the client’s assets in its possession; (b) not having investment in or holding securities or derivatives for its 4 investment; (c
information and documents, as detailed in Chapter 11; (11) additional regulations for operation of specific business, as detailed in Chapter 12. 3 Part 4 The SEC Office’s Power Clause 5 In order for this