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
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
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the
Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the
Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and
registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor
provision of services as derivatives exchange with a defined scope that covers possible emergency events, including a detailed procedure and the responsible person for adhering to each step of the procedure