trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."
SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course. In this regard, the institutional clients
documentation: (1) letter of certification and consent of the audit firm to which the applicant is attached, which certifies and gives consent in the following matters as per Form 61-2, which is available on the
instruments or financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instrument or evidentiary documentation showing the right in the assets of foreign collective
evidentiary documentation according to the Licensing Manual for the Public. In this regard, the application fee shall be in accordance with the Notification of the Office of the Securities and Exchange
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
not appear that the management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office