been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
, control, and supervision of policies of an applicant; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning, investment or capital
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
financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk
(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
modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment