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

years from the date the particulars or transactions of customers have beencompleted, except for data or evidence concerning customer identification which shall be kept for not less than five years from

of their participation in knowledge development activities to be kept for at least two years from the year in which the renewal is granted; 5.2 The organizer – the evidence of organizing the training

of their participation in knowledge development activities to be kept for at least two years from the year in which the renewal is granted; 5.2 The organizer – the evidence of organizing the training

of their participation in knowledge development activities to be kept for at least two years from the year in which the renewal is granted; 5.2 The organizer – the evidence of organizing the training

immediately; 6. The SEC Office’s privacy policy requires that the Applicant’s information be kept confidential. The SEC Office may consider disclosing such information in compliance with the authority and

. Any violator in such manners above shall be subject to penalties as prescribed by law; 9. The SEC Office’s Personal Data Protection Policy requires that the Applicant’s information be kept confidential

. The SEC Office’s Personal Data Protection Policy requires that the Applicant’s information be kept confidential. The SEC Office may consider disclosing such information in compliance with the authority