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
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
number of voting rights of such juristic person; (8) “ client solicitation ” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment
voting rights of such juristic person; (8) “client solicitation” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for
include therein excessive transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering
Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management contract, the
investment policy is standardized as specified in the notification of the Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund
notification of the Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor