securities trading and maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner
accessing or amending information; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with
personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and exchange 4 , including regulations issued by virtue of such law in the part of
result of the application in the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application together with supplemental documents. In case the
accordance with the approval rules, or has failed to meet the conditions after approval, or has failed to disclose a complete, accurate and sufficient material information for investors decision making, the
which the Office receives the complete application and supplementary documents according to public guide, the Securities and Exchange Commission shall complete its consideration for issuance of
Office receives the complete application and supplementary documents according to public guide, the Securities and Exchange Commission shall complete its consideration for issuance of derivatives business
in all respects under Clause 11, within ninety days from the date on which the SEC Office receives the complete application and supplementary documents, the SEC shall give recommendation to the
(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of