been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
: Rules, Conditions and Procedures for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
investment will be made in the shares issued by the company in Clause 5(5), the applicant shall prove that a supervision is put in place to direct the operation of the company in accordance with the