such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the
giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the records of such activities in the form of recorded tape or electronic data
continuity and Market Intermediary Business Continuity and Recovery Planning document http://www.iosco.org/ List of contact persons, including employee list, telephone number and contact chart, whereby each
. Additionally, 3 List of contact persons, including employee list, telephone number and contact chart, whereby each employee shall contact an employee as scheduled. 4 companies should specify additional
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
of telephone or via electronics, the securities company shall keep such record into recording tape or electronics recording appliance. Clause 19/1.23 24 25 In dealing with retail client, a securities
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
, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data
, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause