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Article 6
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When a securities underwriter sells securities under subparagraph 2 of paragraph 1 of Article 2, it shall produce transaction records and keep basic information including the counterparty's name, address, ID number, and relationship to the issuer or underwriter. If it is a juristic person, the underwriter shall record the basic information of its representative, including full name and ID number, and attach the document showing legal authorization. If the counterparty is transacting through an agent, the underwriter shall keep on record the basic information of the agent, including full name, ID number, and the power of attorney.
The transaction record of the preceding paragraph shall at least include information on the transaction counterparty, name (type) of the securities, trade date, settlement date, trade price (yield rate) and total monetary amount, as well as other material matters related to the transaction.
The securities underwriter shall keep the transaction records and transaction counterparty information under paragraph 1 for at least 5 years after the completion of annual closing procedures. However, if another law or regulation provides otherwise, the provisions thereof shall prevail.
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