, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all stakeholders. The SEC Board seriously focuses on adopting the principle of a good governance in the
confidence in service quality? (e.g. firm's SOQM, firm's strategy and governance & leadership, transparency report, firm inspection results, non-compliance with law and regulation and responses to emerging
committee (be it a stand-alone risk committee, a combined risk committee with nomination and governance, strategy, audit or other) can be an effective mechanism to bring the transparency, focus and
with fair treatment and transparency, and increase flexibility for management of member contribution. Most respondents agreed with the proposed amendments and suggested further details for the
Company 10/05/2011 01/06/2011 3. Notification of Capital Market Supervisory Board  TorThor. 18/2553 Selling of Securities in Foreign Country by Securities Company Without Having Possession 27/04
possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same
possession of prohibited characteristics. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that