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
) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
derivatives trading which may reduce the risk of the outstanding position of such client; (2) close out the client’s derivatives position at least one hour before the closing time of normal trading session on
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the