inappropriateness regarding the sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
operation of securities business in the category to be commenced including measure for controlling and monitoring the compliance with the policy and measures set in place; (c) operational system promptly for
ensure that all holdings are in compliance with the ratio and requirements set out in this Notification. Such necessary measure shall include the establishment of a monitoring system for the holdings or
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this
that the intermediary able to pursue and monitor the investment of those persons; (3) preparing a measure for pursuing, controlling and monitoring compliance with the system and measure as prescribed in
Funds of Management Company, measures on non-compliance, and additional rules governing the following matters: (1) the establishment of a fund and post-approval proceeding in Part 1; (2) the provisions on