document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering
document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s
it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
documents. In this regard, all documents and information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD
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person from the register of person qualified to be fund manager. Clause 14. In the case where the electronic system in the web site of the Office has not yet been readily available, Clause 5, Clause 6
person from the register of person qualified to be fund manager. Clause 14. In the case where the electronic system in the web site of the Office has not yet been readily available, Clause 5, Clause 6
of such person from the register of person qualified to be fund manager. Clause 14. In the case where the electronic system in the web site of the Office has not yet been readily available, Clause 5