continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
arrangement to ensure that the relevant service UNOFFICIAL TRANSLATION provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out
established any arrangement to ensure that the relevant service provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the
. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide
applicant to provide explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such
held, in order to secure the performance of derivatives contract. Clause 2. Derivatives broker shall provide evidences relating to derivatives trading as follows: (1) The evidence relating to the taking
over-allotment shares is able to provide over-allotment shares in a full amount required to be delivered or returned for a securities underwriter who is obliged to provide over-allotment shares in cases
shares is able to provide over-allotment shares in a full amount required to be delivered or returned for a securities underwriter who is obliged to provide over-allotment shares in cases where the amount
the Company under the terms as stated above), the Company requires STEC to provide a security by pledging the Sale Shares in proportion to the remaining purchase price (or equivalent to 20,685,000