・ARTICLES
OF INCORPORATION
・OPERATIONAL RULES
・Rules
on Admission Fee and Membership Fee
・Rules
on Remuneration, etc. and Expenses for Officers
・Rules on Membership and Notification
・Rules on Document Submission and Notification
Pertaining to Self-Regulation Standards and Acts in Violation of Laws
and Regulations
・Rules on Disposition of Members
・Establishment of Standing Committees
・Establishment and Operation of the Discipline
Committee
・Confidentiality of the Association’s Officers
and Employees
・Standards on Management and Investment
of Assets
・Rules on Entrustment of Operations for
Resolution ofComplaints and Disputes
・Self-Regulation
Standards on Advertising and Solicitation
・Points
of Attention regarding Social Media and Affiliate Advertising
・Points of Attention
regarding Comparative Advertising
・Guidelines
on Prevention of Insider Trading
・Standards
to Be Taken into Account in Performance of Business Operations
・Business
Operation Standards on Securities Investments Related to Real Property
・Business
Operation Standards on Fund Management Business
・Business
Operation Standards on Wrap Business
・Handling
of Cases Where the Document Specified in Article 37-4 of the FIEA and
Set Forth
in
4 (4) (a) B. of the Business Operation Standards on Wrap Business Is Omitted
・Business
Operation Standards on Investment Advisory Business
・Self-Regulation
Standards on Systems for Business Execution
・Appropriate
Exercise of Voting Rights by Instruction pertaining to Discretionary Investment
Contract
・Points
of Attention Regarding “Transaction Subject to Closing Price” in Discretionary
Investment Contracts
・Preparation
of System for Operation for Implementing At-Average-Price Transactions
・Self-Regulation
Standards on Joint Investment and Common Investment
・Self-Regulation
Standards on Entrustment of Business for Contracting with agency and intermediation
Service Provider
・Regulations on
Fund Audits
・Regulations
on Disclosure of Details of Businesses
・Implementation
Procedures for Disclosure of Details of Businesses
・Regulations
on Statistics
・Implementation
Procedures for Preparation of Regular Statistics
・Appended
Form
・Uniform
Accounting Standards for Investment Management Business, etc.
・Submission
of Business Reports
・Procedural
Guidelines on the Protection of Personal Information
・Procedural
Guidelines on the Protection of Individual Numbers and Specific Personal
Information
・Securing
the Proper Handling of Personal Information by Members
・Rules
on the Handling of Complaints Related to the Protection of Personal Information
・Declaration
on the Protection of Personal Information
・(Reference)
Reporting Leakage of Personal Information or Any Other Related Incident |
