application, together with evidentiary documentation as specified on website of the SEC Office, to the SEC Office. In case of submitting an application to be the appraisal company in capital market for the
and evaluation under (1) and (2) to the board of directors or working group which is assigned in written by such board of directors. In the event of changes in the organizational structure, operational
chief executive of the intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a ready manner for
chief executive of the intermediary; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a ready manner for
by submitting the Financial Advisor Application Form FA-1 together with the evidentiary documentation as specified thereunder in accordance with the guideline in the electronic work system of the SEC
system. Different working teams are assigned to work remotely to mitigate operational risk and ensure that the operations and the services to the public will continue without interruption,” said Ms
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
-appointed working committee in charge of implementation of the business continuity management policy. In the event of changes in the organizational structure, operational systems or other events which