Basic Guidelines on Securities Business Monitoring(Reference Materials and Forms)

Reference Materials

Chart of Inspection Process (PDF)
List of Documents to be submitted (PDF)

Forms

Form 1: Inspection Order (PDF)

Form 2: Letter of Consent to Nondisclosure of Inspection Information to Third Parties (Word, PDF)

Form 3-1: Request for Consent to Third-Party Disclosure (management companies) (Word , PDF)

Form3-2: Request for Consent to Third-Party Disclosure (other than management companies) (Word, PDF)

Form 4: Summary Sheet (PDF)

Form 5: Questionnaire (PDF)

Form 6: Monitoring Confirmation Sheet (PDF)

Form 7: Notification of Completion of Inspection (PDF)

Form 8: Opinion Submission Form (Word, PDF)

Form 9: Request for Withdrawal of Submitted Opinions (Word, PDF)

Form 10

Notification of Decision for Non-acceptance of Submitted Opinions（PDF）

Form 11

Inspection Monitoring Sheet（Word, PDF）

*The above may be updated without prior notice.

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