purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2
shall form a quorum. If the Chairman of the SEC is not present at the meeting or cannot perform his duty, and if there is a Vice-Chairman, the Vice-Chairman present at the meeting shall be the Chairman of
meeting of securities holders. “Central securities depository” means any central securities depository under the law on securities and exchange; “Margin account” means an account of client’s loan for
securities; 2. director and employee of issuing company or subsidiary of issuing company as approved by the board of directors or the resolution of the shareholders’ meeting of issuing company; 3. creditor of
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
shareholders’ meeting resolution of the securities issuer; 3. a creditor of a securities issuer according to the rehabilitation plan approved by the court under the bankruptcy law or the debt restructuring
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
the designated matters. SECTION 12. At least half of the subcommittee members shall form a quorum. In the subcommittee’s meeting, if the chairman is not present at the meeting or is unable to perform
date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the Office.