governance structure and material facts related to the board, 23 subcommittees, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management to make the management that
and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management to make the
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
registrar of any asset as assigned by a client, the securities registrar shall proceed according to the rules, conditions and procedures for recording and maintaining the register of securities including
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “control” means control as determined
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or