confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
persons. 2.2 In case of juristic persons: including unitholders and (1) A juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person
persons. 2.2 In case of juristic persons: including unitholders and (1) A juristic person and a shareholder or a partner of the said juristic person who holds shares or partnership in such juristic person
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
either wholly or partially until the said securities company rectifies such matter. In this juncture, the SEC may also order the securities company to undertake any step for the purpose of maintaining