notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
cover at least the following managements and systems: (1) determining strategies, policies, objectives and operational procedure clearly, thoroughly and obviously; (2)3 determining organization structure
management structure and operating system as prescribed in Clause 11 shall cover at least the following managements and systems: (1) determining strategies, policies, objectives and operational procedure
management structure and operating system as prescribed in Clause 11 shall cover at least the following managements and systems: (1) determining strategies, policies, objectives and operational procedure
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
) Date (Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
(Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
(Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation