either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given
| - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency | - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records
) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control
Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission Contact The Securities and Exchange
& business plan • Use of ICO proceeds • Key milestones • Type / legal structure of entity running the project • Team members / advisors • Financial information / track records (if available) • Key risks
prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including
such legal entity to relevant personnel to cooperate with the SEC Office; (h) records on administrative sanction of the wrongdoer which, in case where the wrongdoer is a legal entity, shall include