the extent applicable to the offering procedure: 1. The time period during which the offer will be open, and where and to whom purchase or subscription applications shall be addressed. Describe whether
material misstatements, as well as determining whether they are properly implemented. Although the form and extent of documentation for this audit procedure are influenced by several factors such as the
group of targeted potential investors, the registration statement shall state the following information to the extent applicable to the offering procedure: 1. The time period during which the offer will
spent insufficient time to review each work paper when compare with the total time spent on reviewing the whole engagement. Furthermore, there was unclear policy and procedure regarding file archiving
general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2
Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the
Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and
registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor
provision of services as derivatives exchange with a defined scope that covers possible emergency events, including a detailed procedure and the responsible person for adhering to each step of the procedure
capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included