shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
: 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
such company; (11) “major shareholder” means any shareholder or beneficial owner of shares who holds more than ten percent of the total number of shares with voting right of the applicant. For the
regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined
, by itself or combing with others exceeding fifty percent of total number of shares with voting right of such company ; (11) “ major shareholder ” means any shareholder or beneficial owner of shares who
prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good corporate governance for the listed company; (4) The acceptance of
companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies; (2) Shareholding diagram
case that the Company consists of subsidiaries or affiliates, the following information is required: - Policy on operational organization within the group of companies; - Shareholding diagram of the
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
following matters: 1.1 Vision, objectives, goals and operational strategies Provide as much information as deemed appropriate on the vision, objectives, goals and operational strategies of the Company or the