. (UNOFFICIAL TRANSLATION) 2 (2) In respect to the following cases, it shall be deemed that a derivatives business operator has already obtained an approval from the SEC Office for the appointment of its director
firm’s seal (if any) as well as affix signature on every page of the Form of audit firm Profile and Details. In this respect, if the authority to affix signature on the Form of audit firm Profile and
executives; (2) evaluate the performance of the board of directors and executives. Clause 9 Derivatives clearing houses shall take at least the following actions with respect to organizational structuring: (1
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to
funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will
employees providing advice to the investors in order to prevent conflict of interest in respect of advice provision;4. The wealth advice service providers who are securities brokers may automatically
: ‘Protect, Respect and Remedy.’ The said forum is one of the largest annual meetings of the United Nations since more than 2,000 participants from all relevant sectors meet to discuss directions and
investor access to information prepared by professionals with understanding of foreign products for investment decision-making. With respect to movement to a host country, professionals approved by the
choose the persons to operate a business on their behalf in a more flexible manner, whereby the business operators will be able to delegate other persons in respect of work related to the business