were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced
was not a complicated process. The management or controlling shareholder may simply invite respectable or acquainted individuals to serve as directors. With the invitation, the directors reckoned that
in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while
qualified audit personnel and inability to react to changes of professional standards and more complicated structural transactions, will also be addressed to support market readiness for current dynamic
supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
fiscal year 2020 onto which individual auditors in the capital market affixed signature in giving opinions in the auditor’s report. Listed companies per auditor ratio (company:person) market capitalization
of 2019, KBank continued to prioritize upgrades of our capability in data compilation and analytics. This will allow us to understand and anticipate each individual customer’s needs under the “Segment
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data
principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance