of business contingency management, IT security, operational outsourcing and complaint handling. In addition, all but future exchange would be required to comply with new rules on organizational
system. Different working teams are assigned to work remotely to mitigate operational risk and ensure that the operations and the services to the public will continue without interruption,” said Ms
and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk
the business?s revenue or expenses to reflect the operational risk better that flat rate requirements. The consultation paper is available until January 27, 2014. The consultation paper is available on
in the Departmental Level State Agency Category. The SEC is committed to leveraging digital technology to continuously enhance services and operational efficiency under the principle of providing
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; UNOFFICIAL TRANSLATION
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of