period specified by counterparty, a securities company shall provide an operating system to support such having sufficient securities, in case the securities company or its client has not yet received ETF
customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept until the handling of
, should there be any customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept
year debt level. In conclusion, by Q4 2019, the Company has a clearer direction regarding the Sakthi’s transaction. For the year 2018 until Q3 2019, the Company was not able to address the Sakthi
necessary documents in support of the application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility
conjunction with fund management. Such keeping shall be systematic and make searching easy; (c) retention period shall not be less than five years from the date the particulars or transactions of customers have
for or used in conjunction with fund management. Such keeping shall be systematic and make searching easy; (c) retention period shall not be less than five years from the date the particulars or
keeping of documents and evidences to be prepared for or used in conjunction with fund management. Such keeping shall be systematic and make searching easy; (c) retention period shall not be less than five
promotion and marketing events to increase sales amounts in this year such as “FN Fair” at head office and branches. For sales of existing branches, it was not achieve the target since the delay of domestic