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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
shall keep the records of advice and trading order in accordance with the rule specified in the notification of the SEC Office. Clause 15. Derivatives broker shall not advertise any statement that may
. Derivatives broker shall keep the records of advice and trading order in accordance with the rule specified in the notification of the SEC Office. Clause 15. Derivatives broker shall not advertise any statement
and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is