honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
in general greater management participation in SGAH to give more support and necessary controls in the weak areas with the increase in the Company’s direct and indirect equity holding in SGAH from
. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or
or a person licensed to undertake securities business in the category of securities dealing under foreign laws. 6 Clause 19 A securities company shall keep records of the giving of advice and
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
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