) Securities Financing (section 4) Separation of Securities and Finance Businesses & Merger (section 90) Representatives Office of foreign securities companies (section 93) Holidays (section 110) Securities
capital market. Chapter 1 Application for Approval as Auditor in the Capital Market ___________________ Division 1 Filing of Application ______________________ Clause 7 Any person intending to be an auditor
Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving
Division)
date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as
DIVISION 1 SECURITIES AND EXCHANGE COMMISSION SECTION 8.4 A Securities and Exchange Commission hereby referred to as the "SEC" shall be established, comprising the Chairman appointed by the Cabinet upon