giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the records of such activities in the form of recorded tape or electronic data
Clause 16 (1) in compliance with the following rules: (1) disclose the information on the execution of such transaction to the SEC Office in the form and procedure specified in the Electronic Information
, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data
, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause
facsimile transmission, electronic mail or any other means according to the recipient’s intention. In this regard, record of notification shall be made and written notification shall be sent to the recipient
rules: (1) disclose the information on the execution of such transaction to the SEC Office in the form and procedure specified in the Electronic Information System of the SEC Office; (2) disclose the
20,000.00 1 4,772.50 2 6,592.10 2 4,600.00 2 15,057.10 1 8,500.00 2 11,200.00 2 20 Automotive 300.00 1 1,237.10 2 294.30 1 500.00 1 800.00 1 280.00 1 200.00 1 21 Electronic Components 217.30 1 20.00 1 22
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities
) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities company report