13. The securities 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
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
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
creditworthiness of the type of entity or obligation being rated. 1.9 A CRA should maintain internal records that are accurate and sufficiently detailed and comprehensive to reconstruct the credit rating process for
raw materials or products for sale, issues on raw materials (ex, shortage, technological effects on raw material use), the number of raw material distributors, proportions of domestic and overseas
mainly on borrowers with good track records, as well as existing low-risk customers. 2.2 Market Risk Management Overall, movements in foreign exchange and interest rates at home and abroad remained
which covers the methods for selection and evaluation of cloud providers, review of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence; (2) policy on
of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence. Clause 9 An intermediary shall establish the information security which addresses at least