units or underlying shares of ETF from purchasing order. Clause 8 A securities company shall keep the information and prepare report relating to short selling as stipulated by the Notification of the SEC
accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the
altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the date on which
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
attendance For a purpose of considering the renewal of approval for investor contacts, the Contacts and the organizer must keep the following relevant evidence: 5.1 The Contacts – the complete evidence in full