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Article 15-4
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When a securities firm recommends to a customer a subscription to the stock of a company under Article 15-1, paragraph 1, it shall retain a record, and shall keep the record at its place of business.
A securities firm shall retain records referred to in the previous paragraph for no less than 2 years; provided, if there is any dispute, it shall retain them until the dispute is eliminated.
After a securities firm recommends to a customer a subscription to the stock of a company under Article 15-1, paragraph 1, the relevant research reports shall be retained for at least 5 years; provided, if there is any dispute, it shall retain them until the dispute is eliminated.
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