aims to standardize the SEC regulations in line with the changing situations to ensure that only necessary regulations are issued and enforcement is effective. In any case, appropriate investor
, while reviewing the existing regulations to be in line with the current situations and remain as necessary for more convenience, less business-sector costs, lower burden on people and compliance with the
respond more accurately to the changing risk landscape. Audit regulatory body also needs to follow suit by closely monitoring the growing situations to allow for an adaptive regulatory mechanism that is
securities holders in a reasonable manner during the working hours determined by the securities registrar. Clause 6 The securities registrar shall have a contingency plan in case of emergency situations which
review of the existing laws and regulations. The reviewed laws and regulations that are no longer necessary or do not keep pace with situations or remain obstacles to living or occupations will be
existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to living or occupations will be abolished or revised to
transparent, fair and free from anti-competitive situations; (2) Post-approval duties of the association: The association shall perform its duties in accordance with good governance principles and
index calculation and guidelines for managing the fund in case of such circumstances. (2) Information on the price or the operating results of the goods or the underlying during at least the past three
ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed