Article 34
|
A securities firm accepting orders to trade securities shall establish the following information on its customers: 1. Name, domicile, and mailing address; 2. Occupation and age; 3. Assets status; 4. Investment experience; 5. Reason of opening account; and 6. Other necessary information. A securities firm shall keep confidential the information referred to in the preceding paragraph unless being inquired according to law.
|