and fund voting Supervision of the Securities Exchange Enhancing competitiveness of the capital market Establishment of the Capital Market Development Fund (CMDF) Effectiveness, clarity and transparency
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
, taxonomies, valuation models, benchmarking and other tools and frameworks GOVERNANCE TRANSPARENCY MANAGEMENT STRATEGY DECISION MAKING FRAMEWORK Integrate operating sustainably and contributing positively to
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further
behavior that, if considered on a reasonable ground, indicates failure to discharge properly the duty to supervise a juristic person or a company under its management, or any personnel under its supervision
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
: Rules, Conditions and Procedures 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
deceases, resigns, or whose approval is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other