undertake securities business in the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for
sufficient securities, in case the securities company or its client has not yet received ETF units or underlying shares of ETF from purchasing order. Clause 8 A securities company shall keep the information
such having sufficient securities, in case the securities company or its client has not yet received ETF units or underlying shares of ETF from purchasing order. Clause 8 A securities company shall keep
units or underlying shares of ETF from purchasing order. Clause 8 A securities company shall keep the information and prepare report relating to short selling as stipulated by the Notification of the SEC
accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the
altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the date on which
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary