independent director shall: (a) hold shares of not more than five percent of all shares with voting rights of the securities company, parent company, subsidiary company, affiliate company or person who may have

information for all. 3. Risk factors Identify significant risk factors including the following types: - Operational risk associated with the Company or the group of companies. Identify and clarify what the

followings: - Operational risk associated with the Company or its group of companies. Identify and clarify what the management views as material risks on the business, operation, financial position, operating

case where the securities company appoints a person that has relationship as a parent company, subsidiary or affiliate company, as an agent, the securities company shall inform its clients about such

. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards

, parent company, subsidiary, affiliate or being a person who may be in conflict: O yes (please specify in detail) Name of Company amount (shares) proportion of shares holding

that are associated with securities borrowing and lending business complied with this Notification and to extend period of time in maintaining information and documents that are related to the custody of

the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this

demonstrate items of investment in net value after adding or deducting with the value adjustment reserve accounts and the reserve for depreciation of investment fund. 5. Investments in subsidiary and associated

evaluation of the outsourcee , review of the outsourcee ’s qualifications, and provision associated with the use of services to ensure mitigation of risks from the outsourcee ’s access to the organization’s IT