Arbitral Procedure Organized by the SEC Office (No. 2)
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Establishment of Mutual Funds and Execution of Agreements for Private Fund Management (No. 15)
Re: Investment in Fund’s Assets (No.14)
Verification of Foreign Collective Investment Scheme and Announcement of Qualifying Scheme
The Approval of Personnel in the Capital Market Business
Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees
Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds
Regulations relating to Conflict of Interest with Real Estate Investment Trust