the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; (Unofficial Translation) 2 “Office” means the Office of the Securities and
securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment
analysis” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment related
; 2. system for auditing and verifying foreign securities deposited with foreign custodians against the entries in the account prepared by the applicant; 3. system for administering, dealing, and
personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in
of the personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared
keeping of documents and evidences to be prepared for or used in conjunction with fund management. Such keeping shall be systematic and make searching easy; (c) retention period shall not be less than five
information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be prepared in writing with an approval from the company’s board of directors