date on which the information was recorded in the system. In this regard, during the first two years it shall be kept in a manner that is able to be retrieved promptly and inspected by the SEC. Clause 5
), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards
retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication date in such a manner that
which can be promptly retrieved and inspected by the Office, and the securities company shall maintain the reports or articles on securities investment analysis for at least two years from the publication
fund, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to amend private fund agreement, as the case may be, to comply
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
to amend the rules on office hours of securities companies.
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
shall have power to order the investment advisory company to act, amend or refrain from any act. In the case where the investment advisory company is unable to act, amend or refrain from any act ordered