ensure that the credit ratings and related reports it disseminates are based on a thorough analysis of all such information. 1.3 A CRA should adopt reasonable measures designed to ensure that it has the
its financial statements or related reports required under Section 56; (b) has failed to file any reports required by the SEC Office under Section 57 or related reports to the Exchange; (c) be in the
Office: (a) has failed to file the financial statements or related reports required under Section 56; 9 )b) has failed to file the reports required by the SEC Office under Section 57 or related reports to
: (a) not counting the votes of the unit holders for the units held in excess of the holding limit prescribed in accordance with the Notification of the Capital Market Supervisory Board relating to the
violation of this Act, the rules of the Board, the provisions of the securities laws relating to the preparation and issuance of audit reports and the obligations and liabilities of accountants with respect
experience to review creditability of the financial reports. The audit committee of the company has the scope of duties and responsibilities to the Board of Director on the following matters: 1. Review the
giving of advice by a foreign derivatives business operator is provided, the derivatives broker shall keep the documents relating to the giving of advice including analysis reports and any other documents
where the giving of advice by a foreign derivatives business operator is provided, the derivatives broker shall keep the documents relating to the giving of advice including analysis reports and any other
the securities company under the first paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital