the application for approval within forty‑five days from the date of receiving the application together with correct and complete document evidences. Clause 3. In the capacity of an investment advisory
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
the due date; (b) debt repayment for securities purchase that exceeds the due amount and the securities company has already returned such money to the client within five working days from the date of
securities purchase that exceeds the due amount and the securities company has already returned such money to the client within five working days from the date of receipt of such payment; (c) money from
handling officer according to the said notification within fifteen days from the date on which the claimant files the complaint; 2. the claimant’s complaint is not resolved within forty five days from the
complaint handling officer according to the said notification within fifteen days from the date on which the claimant files the complaint; 2. the claimant’s complaint is not resolved within forty five days
analysis for not less than three years within five years prior to the date of submission of the application. 2. Having obtained a certificate (level 3) in Chartered Financial Analyst (CFA) or Certified