1 shall prepare and file such reports even though there is none of any transaction during such period. Clause 4 Business operators shall file reports in Clause 3. with the SEC Office in the electronic

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

justifiable purposes; (8) the client deposits a significant amount of cash with securities company without a clear order on how the money will be used for investment, or even when an order is made, the amount

as specified in the fund’s article. In cases where there is any doubt in information or rule specified in the fund’s article, even it is trivial, the management company should immediately inquire the

deferred remunerations and benefits accrued for the year, even if they are payable at a later date. In the case where the remunerations in the previous year do not reflect the actual remunerations (for