) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less than two months from the day following the date of recording; however
, 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
, 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
for keeping the report that the computer division publish for other agency and a zone where stored the tape recorder of the comment’s marketing officer [A] 2. Damage Prevention 2.1 Fire Prevention
company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in
is made by telephone or via electronic means, the securities company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities
premise of the securities company; (3) Arrange to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such
to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such securities company; (b) Promote or publicize to the
: ............................................................................... photo size 1 inch (taken less than 1 year) 8. Performing of audit work Full-time time used for performing audit work per week ........................ hour(s) Non-full-time time used for performing
activity accepted by the Office A minimum of 3 hours per course or seminar A minimum of 1 hour of lecturing per subject Hours accumulation 1. Breaks will not be counted except breaks of 15 minutes or less 2