designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
. ---------------------- Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2548 Re: Qualifications and Other Prohibited Characteristics of Executives of Securities Companies ------------------------ By
discussion and analysis Certification of Information Attachments: Attachment 1: Details of directors, executives, controlling persons and company secretary Attachment 2: Details of directors of subsidiaries
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
) Page Part 4 Certification of Information Attachments Attachment 1 Details of the directors, executives, controlling persons and company secretary Attachment 2 Details of the directors of the subsidiaries
; (3) there shall be controls of unauthorized access to information systems and applications, as follows: (a) control access of users and system administrators to information and application system
. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards
for Approval of Appointment of Executives of a Securities Company or a Derivatives Business Operator ...........................................................Company O Securities Business O
Executives of Securities Company or the Notification of the Capital Market Supervisory Board concerning Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Intermediary