trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique
governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by such board of
taken into consideration. Said regulations shall include at least the following matters: (1) policies on prevention and handling of conflicts of interest; (2) adequate measures to prevent directors
reaches or exceeds any trigger point specified in Clause 6 of the SEC Notification No. KorChor. 53/2545, may submit an application for a waiver from the requirement to make a tender offer for all securities
clearing houses and central securities depositories, and benefits of the public and clients shall be taken into consideration. Said regulations shall include at least the following: (1) policies on
will take for the fund to recover, measuring from the point of maximum loss to the point of recovery of initial investment. FX Hedging refers to the percentage of investments denominated in foreign
. Recovering Period refers to the recovering period as information for investors on how long it will take for the fund to recover, measuring from the point of maximum loss to the point of recovery of initial
continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once a year or when there is a significant change affecting the risks and impacts as such