necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be applicable, mutatis mutandis. The operating plan of

of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and

modify or change the conditions already specified. Division 2 Supervision of Business Operation ________________ SECTION 57 In managing a trust, a trustee shall have appropriate operating systems to: (1

circumstance as provided in the first paragraph, the SEC may modify or change the conditions already specified. Division 2 Supervision of Business Operation ________________ SECTION 57 In managing a trust, a

for undertaking trust business. In cases where there has been a change in the necessary circumstance as provided in the first paragraph, the SEC may modify or change the conditions already specified

the operation of securities business, the Securities Exchange, over-the-counter center, organization related to securities business, derivatives business, derivatives trading center, derivatives

of the SEC Office; (6) being a manager or a person with power of management of the operation of securities business, the Securities Exchange, over-the-counter center, organization related to securities

condition and the business operation of an entity who is not a securities issuing company and such entity gives consent thereto, the SEC may specify that such entity shall have the joint duty and

the following information to the SEC Office in accordance with the rules, procedures and conditions as specified in the notification of the SEC: (1) reports concerning the results of business operation

Office in accordance with the rules, procedures and conditions as specified in the notification of the SEC: (1) reports concerning the results of business operation and the financial conditions; (2) any