capital market. Chapter 1 Application for Approval as Auditor in the Capital Market ___________________ Division 1 Filing of Application ______________________ Clause 7 Any person intending to be an auditor
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works, but they shall keep monitoring such operations. Division 3 Impacts from
Exchange Commission concerning Determination of Definitions in Notifications concerning Issuance and Offer for Sale of All Types of Debt Securities shall be applicable to this Notification, including Forms
In this Notification: The terms “credit rating”, “bill”, “short-term bill”, “registration statement”, “listed company”, “parent company”, “subsidiary”, “executive”, “controlling person”, “high net
variables as prescribed by the Office; (4) “ applicant ” means a person applying for derivatives business license under this Notification; (5) “ commercial bank ” means any commercial bank in accordance with
prescribed by the Office; (4) “applicant” means a person applying for derivatives business license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial
responsible person who has duty to undertake and be liable for arranging and keeping information, document or evidentiary documentation in accordance with the rules as prescribed in sub clause (1) and (2); (4
Market Supervisory Board concerning Outsourcing Some Operations in Securities or Derivatives Business to Others. 8 govern them to be approved person according to such requirement and control them to