home regulator is established, and such information shall be kept at the office or on the website of the securities company and shall be delivered to investors upon request. Clause 9 In the case where a
that the Applicant’s information be kept confidential. The SEC Office may consider disclosing such information in compliance with the authority and responsibility or as required by the provisions of law
date on which the information was recorded in the system. In this regard, during the first two years it shall be kept in a manner that is able to be retrieved promptly and inspected by the SEC. Clause 5
the information was recorded in the system. In this regard, during the first 2 two years it shall be kept in a manner that is able to be retrieved promptly and inspected by the SEC. Clause 5 The
the units of a mutual fund managed in accordance with (1) of Paragraph 1 of Clause 11 and the disposal of the units invested in accordance with Paragraph 2 of Clause 11 shall be kept in a ready manner
beencompleted, except for data or evidence concerning customer identification which shall be kept for not less than five years from the date relationship with the customer has ended. Clause 5. An internal control
transactions of customers have beencompleted, except for data or evidence concerning customer identification which shall be kept for not less than five years from the date relationship with the customer has