retention, these are stored in safe places in the SEC Office, i.e., central cabinets with locks. Document access is set by authorization and records of users are kept, etc. Complete documents are stored in
Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file | .doc file 5. Audit Firm Profile and Details .pdf file | .doc file
such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected by law. For example, they shall not be suspended, threatened, interfered with work or
switching of classes must be clearly described in the scheme. (3) Seeking a resolution of unitholders in the case of a mutual fund of which investment units are classified: 1) Requesting a resolution on a
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution
investors are appropriately protected, while the business sector and market operators achieve competitiveness through development of various investment products and services. In this regard, the SEC has
/executive of the company. Q: What are specific duties of directors according to the SEA? A: The SEA does not stipulate any specific duties for directors but provides a safe harbor for directors and
, but not limited to, requesting information from the audit oversight authority that the applicant registers with, or requesting the applicant for more information or clarification. The SEC will notify