firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
agreement is reasonably higher than purchase price of the securities provided that the difference shall be calculated from discount rate of purchased securities (initial margin) specified by taking into
reasonably practicable given the different time zones and public holidays of the jurisdictions). Yes No If “No”, please specify __________________________________________________
considering of the appointment of the company’s executive: (1) there are reasonable grounds to believe that he or she is or having been reasonably suspected of malfeasance in the operation or service of
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6
Clause 6 and Clause 6/1 has been complied with the specified regulations, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able
or the SEC: O Yes (please specify) For example, date of the incident……….. Details of such incident ……… ……………………………………………………... (attachment) (if any) O No (9) Was reasonably suspected of being lack of
transaction as of the commencing date of agreement is reasonably higher than purchase price of the securities provided that the difference shall be calculated from discount rate of purchased securities (initial