because the compliance unit is authorized to monitor staff operations according to the relevant rules and regulations, including complaint handling, coordination and reporting to the SEC in case of matters
a staff of the appraisal company in capital market. Qualifications of appraisers "Appraisal company in capital market" means a juristic person having narmal business purpose to value any asset and
respecting and adhering to stakeholders’ rights should at least cover: (1) Responsibilities to employees, staff, and workers at least by adhering to applicable law and standards and providing fair treatment
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
terminated from employment because of their tip filing. ● Whistleblowers who wish to give inside information or useful evidence for SEC’s investigation shall be treated fairly and protected by law. Matters
auditors who wish to be approved from the SEC shall file the application form together with supporting documents as per checklists to the SEC. In considering the application, the SEC has two approval systems
auditors who wish to be approved from the SEC shall file the application form together with supporting documents as per checklists to the SEC. In considering the application, the SEC has two approval systems
Contact us SHARE : Detail Content Complaints Please use this form in case of filing a complaint against SEC executives or staff for alleged improper or unfair duty performance, in
unitholders wish to transfer to the other RMF, the transfer fees shall be waived if it is the first transfer order made by the unitholders within the specified period. 22.2 RMFs receiving transfer of proceeds
unitholders wish to transfer to the other RMF, the transfer fees shall be waived if it is the first transfer order made by the unitholders within the specified period. 22.2 RMFs receiving transfer of proceeds