retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication date in such a manner that
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
which can be promptly retrieved and inspected by the Office, and the securities company shall maintain the reports or articles on securities investment analysis for at least two years from the publication
date on which the information was recorded in the system. In this regard, during the first two years it shall be kept in a manner that is able to be retrieved promptly and inspected by the SEC. Clause 5
overstated, distortion, or concealed or substantive misleading information; (2) the advertisement shall not urge the client to make a decision to use its services or invest in capital market products ; (3) the