numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be

shall not do any operation which may cause detriment to or is exploiting a client or investors by using information or a chance arising from its services in the following characteristics: (1) entering

under Clause 31, the SEC Office shall at least: (1) give a chance to the person under consideration to elucidate the facts; (2) deliver facts and elucidation (if any) of the person under consideration to

position as a result of possessing prohibited characteristics in Group 3 under Clause 31, the SEC Office shall at least: (1) give a chance to the person under consideration to elucidate the facts; (2

likelihood or frequency of incidents and significant or potential impacts in order to prioritizing the management of information technology risk; (3) establishment of tools and measures for managing risk level

investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of

characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary

intermediary shall not do any operation which may cause detriment to or is exploiting a client or investors by using information or a chance arising from its services in the following characteristics: (1