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
notify the ground supporting such consideration to the management company . Clause 8 In appointing a juristic person to be an agent in a foreign country [as prescribed in sub clause (3) of Clause 5], a
clearly notify the ground supporting such consideration to the management company. Clause 8 In appointing a juristic person to be an agent in a foreign country [as prescribed in sub clause (3) of Clause 5
to prevent the employees from using inside information they have become aware of as a result of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the
, the SEC Office, with the approval of the Capital Market Supervisory Board, shall have the power to prescribe and notify the rules, conditions and procedures for management company to comply with so as
SEC Office, with the approval of the Capital Market Supervisory Board, shall have the power to prescribe and notify the rules, conditions and procedures for management company to comply with so as to
custody, whether in its own premise or other person’s, such premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets
premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets belong to the client. 5 As added by the notification of the