PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or supplementary
Microsoft Word - min_pvd1072.doc This English version is prepared by staff of the Legal Department with the sole purpose of facilitating the comprehension of foreign participants in rules and
is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or
conflicts of interest that may arise additionally.The proposed amendment contains several key points of change, including (1) determination of additional related persons in considering appointment of asset
above transactions are considered as a disposition of assets pursuant to the Major Transaction Rules. However, when considering the size of the transactions pursuant to each calculation method prescribed
sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or
________________________________ This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event