between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
contact, the applicant shall submit information as well as documents and evidence as per the form and procedures as provided via the electronic system of the Office and shall pay the application fee for
the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for at least two years from
undertake securities business in the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for
and relevant employees at least once a year about the following law, regulations, and documents: (1) the law on securities and exchange2, and any regulations issued by virtue of such law; (2) the codes
) information assets, i.e., information, electronic data, and computer data. Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the
) information assets, i.e., information, electronic data, and computer data. 2 Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the
supporting escrow agency businesses, while the method for deposit certification/deposit notification has been amended to accommodate electronic channels. 4. Two Electronic Transaction Acts: 4.1 Electronic