. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
Calculation of Offer Price of Securities and Determination of Market Price for Consideration of Offer for Sale of Newly Issued Shares with Discount
Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertakin
the appraisal process? 11 How the firm’s training covers emerging issues such as new TFRSs, TASs, TSAs, Ethical Standards and other emerging issues and whether training promotes quality control ? How
. 9/2555 Determination of Definitions of Institutional and High Net Worth Investors 09/07/2012 01/08/2012 2. Notification of the Securities and Exchange Commission 52/2545 05/11/2002 16/11/2002 3
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Commission OrThor. 27/2543 Re: Guidelines for the Determination of Preventive Measurement for the Usage of Inside Information for the Benefit of Securities Trading 08/12/2000 20/12/2000 2. Notification of
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