85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center in accordance to the oversight framework for the supervision of financial market
include (1) defining objectives*, (2) determining means to attain the objectives, and (3) monitoring, evaluating, and reporting on performance.** “Good corporate governance” involves not only building
certain periods. KBank has a monitoring process and control measures in place to ensure that risk is within an acceptable level. Foreign exchange risk management 16 is under supervision of the Assets and
data-driven supervision whereby responses to change will be faster and risks exposed to investors and the financial system will be managed in a more timely manner. In so doing, we change the mindset and
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the
in writing with an approval from the board of directors of the company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking