Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation (No. 2)
Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
Notification of the Capital Market Supervisory Board concerning the Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund or the Notification of the Capital
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
statement to the SEC Office under the procedure specifed in Clause 8. In this regard, the application shall be filed in any of the following manners: )1( application on an issue basis; )2( application on a
Approval Procedure on Issue and Program Basis ______________________ Clause 20 A company applying for an offer for sale of bonds shall file the application together with the registration statement to the SEC
spent insufficient time to review each work paper when compare with the total time spent on reviewing the whole engagement. Furthermore, there was unclear policy and procedure regarding file archiving
guideline and description about the risk factors and the criteria to risk scoring. This will encourage the assessor to better document the conclusion of risk assessment procedure and will also standardize the
the transaction will be beneficial to GOLD. The SEC, however, had an observation on appropriateness of asset valuation, weighted quality score method adopted, selection of comparable assets as well as