. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or

or a person licensed to undertake securities business in the category of securities dealing under foreign laws. 6 Clause 19 A securities company shall keep records of the giving of advice and

| - |- 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

inaccurate financial positions in the financial statements, e.g. pseudo capital increase, accounting records without supporting factual evidence, inaccurate investment reports, and overexaggerated liquid

maintain internal records that are accurate and sufficiently detailed and comprehensive to reconstruct the credit rating process for a given credit rating action. The records should be retained for as long

include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international

record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified public accountants, prohibited

) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification