and innovation to enhance developmental efficiency, supervision and investor protection appropriately in all aspects. Regarding digital assets, SEC must closely monitor and supervise digital asset
strengthen supervision of listed companies, as proposed by the SET. The SEC also gives emphasis to effective enforcement, ensuring that wrongdoers in all cases, without exception, are subject to legal
alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they can better diversify the investment risks, and receive professional services in monitoring and
alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they can better diversify the investment risks, and receive professional services in monitoring and
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
responsibilities engagement partner clearly defined and communicated to that partner? 10 Does the firm have policies and procedures regarding to the assignment of engagement teams and the level of supervision
fund flows as above, KBank is closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Enterprise Risk Management
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of
Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of securities