likelihood and the possible effects. 7.5 The company has measures and operational plans to handle risk by either accepting, reducing, avoiding or sharing risks. 8. The organization considers the potential for
2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive
’ Representatives. "insiders of issuer who issues underlying shares" means persons who are in the position with possible access to inside information of the issuer who issues underlying shares due to the structure of
the manner that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
suspicion of management mechanism in the following manners: 1. there is a possibility of unfair treatment of shareholders by improperly giving more benefits or an advantage to any group of shareholders over
supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first
of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2
possible conflict person of the applicant holding shares in its subsidiary company or associated company more than 10 percent of the total number of 2 Amended by the Notification of the Capital Market