references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
audit work done by the other firm that includes as a part of the engagement such as subsidiary and associate? Please describe B Supervision and review responsibilities: 5 Has the firm established policies
Instruments (No. 11) dated 25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of
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
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
management company who manages the mutual fund under its supervision more than five percent of the outstanding shares, including shares held by connected persons of such fund supervisor; (3) Do not have the
to invest in such product, the intermediary shall provide an independent or senior employee working at the place of service to perform the following requirements: (a) examining the procedure for
control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be