prescribed by the Office shall act as follows: (1) preparing a report of the inadequacy of collateral and liquid asset in accordance with the form prescribed by the Office and submit to the Office within the
records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to
giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the records of such activities in the form of recorded tape or electronic data
the following qualifications: (1) being a state enterprise, excluding state-owned financial institution, under the law on budgeting procedures . In case of such state enterprise established in the form
, excluding state-owned financial institution, under the law on budgeting procedures 5 . In case of such state enterprise established in the form of company, its shares shall be directly held by the Ministry of
Clause 16 (1) in compliance with the following rules: (1) disclose the information on the execution of such transaction to the SEC Office in the form and procedure specified in the Electronic Information
encrypted form and keep them separately from application system data; (8) limit the number of entering wrong passwords. In practice, there should not be more than 10 unsuccessful attempts; (9) transmit
beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or others. Clause 3 This Notification shall apply to the licensees of the following licenses: (1
or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or others. Clause 3 This Notification shall apply to the licensees of the following