transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the
shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the maintenance of such evidence during
to deliver such request to head office or other [full] branch offices for considering; (2) rendering information prepared in prospectus or other information, which the intermediary has duty to disclose
securities or derivatives trading in order to deliver such request to head office or other [full] branch offices for considering; (2) rendering information prepared in prospectus or other information, which
of securities or derivatives trading in order to deliver such request to head office or other [full] branch offices for considering; (2) rendering information prepared in prospectus or other
Notification of the SEC Office, orders and circular letters issued under or prescribing guidelines or being remain in full force by virtue of the Notification of the Capital Market Supervisory Board No. TorKhor
___________________ Clause 18 Any Notification of the SEC Office, orders and circular letters issued under or prescribing guidelines or being remain in full force by virtue of the Notification of the Capital Market
relating to trading of bills that are securities which are endorsed with the right of recourse by a financial institution, or avaled the drawer or the issuer in full amount, or accepted to maturity until 15