registrar of any asset as assigned by a client, the securities registrar shall proceed according to the rules, conditions and procedures for recording and maintaining the register of securities including
maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities company shall notify its
any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the
ready for retrieval or inspection by the SEC Office upon request. (1) the persons under Clause 5 and Clause 6 of the intermediary who is a financial institution established under other laws and licensed
proceed outsourced function; (3) the function which may be outsourced to another intermediary shall not be a specific matter or a matter specified by law or regulation to be operated by the intermediary
in case another intermediary fails to proceed outsourced function; (3) the function which may be outsourced to another intermediary shall not be a specific matter or a matter specified by law or