to undertake custody of clients’ assets . In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice
etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
information on specific measures already put in place and substantial alleviation of risk impacts may also be included. 3. Business Sustainability Development 3.1 Policy and objectives of sustainable management
numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be
financial ratios. In the case of the Company in an industry with specific ratios such as an average occupancy ratio (in case of hotel business), such ratios must be presented additionally. Information Quarter
. SECTION 55 A person eligible to apply for an approval to undertake trust business shall be: (1) a commercial bank under the Commercial Banking Act; (2) a financial institution established under specific law
where no specific notifications prescribe the rules related to the matters of funds in Paragraph 1, the management company shall comply with other notifications prescribing such rules for general mutual
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing