. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
provision of services as a securities clearing house or central securities depository to the extent that members or their clients, or any involved persons understand risks from use of the services, and shall
accounting principles. Moreover, the auditor was unable to find sufficient supporting evidence to satisfy the audit procedures due to limitation on scope of audit imposed by the PICNI management in various
must be within the scope agreed by the clients in advance, in order to expand the service scope of the business operators and meet the investors’ requirements in a more comprehensive and convenient
satisfy the audit procedures due to limitation on scope of audit imposed by the PICNI management in various matters including inability to obtain certification from the company?s management regarding
support staff, etc., against the tentatively declining revenues from the manufacturing business to the extent that the Company’s manufacturing business would be at a loss. Therefore, it was deemed
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The