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
) arrange for retaining information, documents and relevant evidences relating to its business completely and currently and in the manner of prompt for being examined by the SEC Office. (4) report to the SEC
efficiency of management and compliance system; (3) arrange for retaining information, documents and relevant evidences relating to its business completely and currently and in the manner of prompt for being
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