Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the AntiMoney Laundering Office (AMLO)’s amendment to the Anti-Money
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti-Money Laundering Office (AMLO)’s amendment to the Anti-Money
-General Office of the Securities and Exchange Commission In support of the application for approval of the Office of the Securities and Exchange Commission submitted by ………[FULL NAME OF APPLICANT
(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of
) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of
) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
Office shall take the following factors for consideration in generally The system has limitation that unable to impose a password in accordance with the Office’s guideline, there shall additional identify