Commission concerning Determination regarding Definition of Institutional Investor and High Net Worth Investor. “high net worth investor” means a high net worth investor under the Notification of the
“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to
person” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning 2 Determination of the Definitions in [Other] Notifications relating to Issuance and
same meaning as defined in the Notification of the Securities and Exchange Commission concerning 2 Determination of the Definitions in [Other] Notifications relating to Issuance and Offer for Sale of
management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has
of the Securities and Exchange Commission No. KorDor. 15/2553 Re: Determination of Fees for Undertaking Business of Licensed Derivatives Exchange The Notification of the Securities and Exchange
required? If yes, please describe. 11 Does the firm's policies and procedures include the determination of the engagement team’s: • understanding of, and practical experience with, engagements of a similar
resolution, etc. 3.2 Procedure for determination or revision and modification of rules and regulations of the SET In determination or revision and modification of rules and regulations other than rules and