opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and
service requiring data for processing; (b) experience on investment or entering into any transaction; (c) knowledge relating to investment or entering into any transaction; (d) purpose of investment or
application with the SEC Office; (d) having passed the training concerning preparation in Accounting and Finance or continued development of knowledge in Accounting as specified by the SEC Office on the website
responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorNor. 23/2544 Re: Rules, Conditions and
party transactions, and acquisition or disposal of assets transactions. Obviously, FAs' performance has a significant bearing on investors and stakeholders on a broader scale. Regulatory summary Related
report on the financial statements of businesses prescribed under such provisions or regulations shall be an auditor who is approved by the SEC Office; therefore, in support of such purpose, the SEC Office
entrust a reliable person to handle the document keeping task on his or her behalf, but the legal liabilities remain with the company secretary. Q: Is it permissible for the chairperson to authorize a