securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean of telephone or via electronics, the securities
finish within specified period of time, the securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean
time, the securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean of telephone or via electronics
amendment of its scheme to be in compliance with the provisions of this Notification. Such amendment shall be completed within one year from the effective date of this Notification. Should the management
shall be completed within one year from the effective date of this Notification. Should the management company fail to effect such amendment within the specified time, the Office may order dissolution of
with the following conditions: (1) The licensee shall commence operation of derivatives business in the category specified in the license only after the Office having completed its inspection, is of the
comply with the following conditions: (1) The licensee shall commence operation of derivatives business in the category specified in the license only after the Office having completed its inspection, is of
complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice