the clients for at least three month from the date which the action take place. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the
, there shall be a change of service provider or any action, as deem appropriate, for the best interest of the clients in order for the service provider to comply with this Notification or other rules
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place
jointly sign by the director nominated by the Company; (9) SUTGH’s Board of Directors and Extraordinary Shareholders’ Meeting approve the dissolution of the company, including other action as it deemed
, advise or take any action to make sure that the issuer or the offeror of securities is aware of its duties, responsibilities, rules, regulations, conditions and other relevant procedures, and to make sure
and inspecting in compliance with the process stipulated under (1), (2) and (3) by the intermediary ; (b) rectifying or taking any action if the communication and provision of services is found to be
compliance with the process stipulated under (1), (2) and (3) by the intermediary; (b) rectifying or taking any action if the communication and provision of services is found to be inconsistent with the