management company managing that fund. The management company shall keep such documents for at least ten years from the date of registration of the dissolution of the mutual fund. Clause 14. All notifications
, specifically, in the case where credit rating assessed by other credit rating agencies is changed. Derivatives broker shall make and keep explanation of reasons supporting the selection of credit rating for
agencies is changed. Derivatives broker shall make and keep explanation of reasons supporting the selection of credit rating for inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor
decision making by company boards and should reflect the extent to which this is embedded practice. Sustainability or corporate social responsibility (CSR) reports serve a useful purpose for multiple
. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or
or a person licensed to undertake securities business in the category of securities dealing under foreign laws. 6 Clause 19 A securities company shall keep records of the giving of advice and
person. Clause 12. The derivatives broker shall provide documentation evidencing derivatives trading and ensure that complete documentation is maintained and updated, and shall keep reports or articles on
maintained and updated, and shall keep reports or articles on the analysis of the value or suitability in trading derivatives and the underlying products in relation to any variables in derivatives in