nesses in the oup. mentioned d ll complete s vant approval general publi n accordance hen transfer th ess of any cir eeting in adva ovide opinio o analyze an subsidiaries d Road, Km , 32 square
a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by
trading of the client shall be updated while the debt-repaying ability and the trading limit of each client shall be reviewed on a regular basis. A securities company shall maintain complete evidentiary
of the application. If the examination on such knowledge has been passed for a period of time exceeding two years on the date of submission of the application, such applicant shall complete such
of time exceeding two years on the date of submission of the application, such applicant (Translation) - 3 - shall complete such knowledge training courses administered by an association or a training
client. Clause 13. A securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment
securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment within the same working day
personnel of any management company do not comply with the provisions of this Notification, the management company shall complete the improvement of its work system and personnel to comply with such
complete the improvement of its work system and personnel to comply with such provisions within six months from the effective date of this Notification, as the case may be. Clause 21. In the event that any