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
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
. Further guidance on these distinctions is given in Section 3.2. If in doubt, please reach out to the Climate Bonds Initiative for support. 3.3. Key elements to the Criteria As a general principle, bonds
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
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
) Authorises the head of operational and business unit to monitor and control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising