Exchange Commission Re: Determination of Other Regulations of Associations related to Securities Business ____________________ By virtue of Section 14 and Section 234(7) of the Securities and Exchange Act
under the law governing trade associations having characteristics and objectives similar to those of an association related to securities business and wishing to become an association related to
] the code of ethics and standards of professional conduct as defined by the associations related to securities business or by organizations in connection with securities business recognized by the SEC
a guidance for companies to evaluate their internal control adequacy. This evaluation form is based on COSO1s framework (The Committee of Sponsoring Organizations of the Treadway Commission) revised
business which is announced by associations or organizations relating to securities business or derivatives business recognized by the SEC Office, or [ii] a collusion or supporting such acts of other persons
, [ii] attend training courses or pass the examination of courses provided by the SEC Office or the organizations recognized by the SEC Office and [iii] have scope of duties, as specified in the Tables of
related to securities business, a derivative regulatory association or any other organizations in securities business or derivative business accepted by the SEC Office, or aids or abets or used to aid or
management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by the Office; (8) “Office” means the
” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by