activities via various channels including production of an auditor?s reporting handbook and organization of preparatory guideline seminars for auditors in the capital market, chief financial officers, audit
for different risk levels and thus functions as a guideline for the business operators to give investors even more appropriate investment advices. At this juncture, the SEC wishes to invite all business
approval fee. Meanwhile, potential issuers may have their credit rated and use the rating results as a guideline for enhancing their business practices. ?Bond is an efficient instrument for raising fund and
shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office. In the case where the securities company complies with a
Notifiaction with the same level of standard, the securities company shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office
regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification
prescribed under Clause 22/2: (1) within a period of five years prior to the date of submitting the application: (a) having acted in violation of any rule or condition related to securities offering in a
asset or business opportunity of the company in contravention to the rule or general practice as specified in the notification of the Capital Market Supervisory Board. SECTION 89/12 A https