maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities company shall notify its
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
document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering
request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering price is a firm quotation or an indicative quotation. Clause 10. In
it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause
with the following conditions: (1) The licensee shall commence operation of derivatives business in the category specified in the license only after the Office having completed its inspection, is of the
comply with the following conditions: (1) The licensee shall commence operation of derivatives business in the category specified in the license only after the Office having completed its inspection, is of