, giving of opinions and preparation of various documents relating to the issuance and offering for sale of securities and relating to the acquisition of securities for business takeovers shall be jointly
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
documents in full according to the procedures specified in the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the
efficient information technology system; (12) having system for arranging and keeping information, documents and evidentiary documentations relating to the intermediary’s business. In this regard, such system
to a summarized substance of instrument that appears in the registration statement in the form of printed documents and CD along with the distribution of securities subscription form under the first
arrange to have the distribution of such document which contain substances similar to a summarized substance of instrument that appears in the registration statement in the form of printed documents and CD
causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to its custody of clients’ assets for at least five years. Such information
documentation as prescribed in Clause 6 together with the following documents: (1) summary of the essences of the draft agreement on income guarantee; (2) information relating to the income guarantor who is a