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
based on a referable rate or in accordance with the commercial practice applicable to such transaction. In the case where a management company has determined a policy or a guideline for setting up the
, 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
on derivatives or law on trust for transaction in the capital market; (3) “alleged person” means person against whom the SEC Office, based on its findings, preliminarily considers that [such person
; (2) a transaction for investment or service provision whose price, compensation or service fee is based on a referable rate or in accordance with the commercial practice applicable to such transaction
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