handling cyber threats. The activities include stakeholder training, cybersecurity planning and cyber drills. The whole process is expected to help the involving parties lay out their own appropriate and
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
The MOU with the AMLO aims to enhance collaboration for the benefit of preventing and suppressing money laundering with a focus on mutual sharing of information and agency-specific expertise. This
its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g., in-house, outsource, network firm? 2) How often the firm performs monitoring function? A2 Does
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
details on the evidence list. Besides, the Law requires only the procedure for taking evidence by the plaintiff and the defendant, i.e., the sequence of examination, cross-examination and re-examination. In
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By