action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6
agreement is reasonably higher than purchase price of the securities provided that the difference shall be calculated from discount rate of purchased securities (initial margin) specified by taking into
reasonably practicable given the different time zones and public holidays of the jurisdictions). Yes No If “No”, please specify __________________________________________________
considering of the appointment of the company’s executive: (1) there are reasonable grounds to believe that he or she is or having been reasonably suspected of malfeasance in the operation or service of
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
Clause 6 and Clause 6/1 has been complied with the specified regulations, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able
or the SEC: O Yes (please specify) For example, date of the incident……….. Details of such incident ……… ……………………………………………………... (attachment) (if any) O No (9) Was reasonably suspected of being lack of
issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to