the supervision (positively listed). 2. The amendments to the regulatory principles for the issuance and offering of digital assets in the primary market. Under the proposed principles related to the
Achievements Corporate Social Responsibilities SEC Strategic Plan for 2015 Appendix Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report 2014 Report
Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to undertake in a different manner from
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
Supervision Group • responsible for ensuring that all securities companies and related associations are qualified for conducting their businesses by having sound financial conditions, proper internal control
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
on the internal control system in key operating areas to assure that objectives in supervision is met with efficiency, effectiveness, transparency and fairness. Moreover, there are measures in
Appendices Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report Report of the Auditors and Financial Statements Sub-committees Arbitrators 41 50 56