) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less than two months from the day following the date of recording; however
regulator is located, providing that such information shall be kept at office or on the website of securities company and sent to investor upon request. Clause 8. Prior to selling units of foreign collective
regarding units of foreign collective investment scheme which was prepared and distributed in the home regulator’s jurisdiction. In this regard, such information shall be kept at the office or on the website
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