is made by telephone or via electronic means, the securities company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities
status and operating performance, securities business report, report of clients’ assets with the SEC Office using the forms annexed to this Notification within the schedules as follows: (1) the business
the Securities and Exchange Commission. Clause 3 . The securities company shall prepare and file the reports with the Office using the forms and within the schedules as follows: (1) Report on the
Securities and Exchange Commission. Clause 33. The securities company shall prepare and file the reports with the Office using the forms and within the schedules as follows: (1) Report on the financial status
Exchange Commission. Clause 33. The securities company shall prepare and file the reports with the Office using the forms and within the schedules as follows: (1) Report on the financial status and business
report of net liquid capital calculation, and for each time that such contract is changed; (4) keep every daily report of net liquid capital calculation and evidences using for calculating such particulars
capital calculation, and for each time that such contract is changed; (4) keep every daily report of net liquid capital calculation and evidences using for calculating such particulars for at least one year
branch offices without restrictions being placed on the scope of allowed transactions and development of the service provision by using appropriate technology.