. Check and balance system. By appointing a person who will monitor and inspect for the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the

than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). (Translation) 3. Check and balance system. By appointing a person who will monitor and inspect for

managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession

managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession

managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession

related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to

evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5- derivatives broker to examine or inspect promptly, and also for the Office and auditor of

- derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to examine as requested. Clause 11. In case where the Office sees appropriate, derivatives broker

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with