, but they shall keep monitoring such operations. Division 3 Impacts from emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment
offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
, sales and distribution channels. In case of export, specify the domestic/export sales ratio, the markets or the groups of export markets for such major products or services; (b) Describe the industry
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor of
objectives. Guidelines 1. There should be an assessment of capability in establishment of a fund in accordance with the relevant laws and related notifications by examining the plan for establishment of the
marketing policies of the major products or services during the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution
Depreciation and writing off bad debt and doubtful accounts Income tax to be written off (Gain) Loss from regulation of securities (Gain) Loss from assets distribution (Gain) Loss from foreign currencies
contract of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor