, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “intermediary” means: (1) a derivative business operator in
(25); (11) provident fund; (12) Government Pension Fund; (13) Social Security Fund; (14) National Savings Fund; (15) Financial Institution Development Fund; (16) derivatives business operator under the
fund; (12) Government Pension Fund; (13) Social Security Fund; (14) National Savings Fund; (15) Financial Institution Development Fund; (16) derivatives business operator under the Law on Derivatives
business operator under the Law on Derivatives; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20
suitability of investment relating to such securities; (9) “ foreign securities business operator ” means any person licensed to undertake securities business by a regulatory agency on securities and securities
securities; (9)2 “foreign securities business operator” means any person licensed to undertake securities business by a regulatory agency on securities and securities exchanges in a foreign country which is a
13. The securities 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
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