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. 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
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
| - |- 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