detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in
issue at each time. Authority to specify other details The Board of Directors or the person assigned by the Board of Directors are authorized as follows: 1. Specify various details related to the
the SEC, shall have the authority to issue notification to specify types of securities, derivatives contracts, other assets, short sales, creation of obligations or seeking of interest or benefit by
notification to specify types of securities, derivatives contracts, other assets, short sales, creation of obligations or seeking of interest or benefit by other means, as the case may be, which each type of
no previous investment policy, the investment policy specified in the fund’s article shall apply. In cases where the fund’s articles do not specify such investment policy, the investment policy
have the power to specify in its notification the rules with which derivatives business operators shall comply.
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.
that plan; (2) designate a unit or personnel as point of contact and report to executives or persons related to the securities clearing house or central securities depository, as the case may be, for