constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board. That is, the securities broker failed to Inefficient
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
auditor was unable to express opinion on AIE?s 2014 financial statements due to limited audit scope imposed by AIE management regarding inefficient internal control system on cost of sales and inventories
financial statements due to limited audit scope imposed by AIE management regarding inefficient internal control system on cost of sales and inventories. Consequently, AI auditor did not express opinion on
financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
statement of equity change of the shareholders, and the annual cash flow statement 2015 due to inefficient internal control system with regard to the cost of sales and the inventory of 2014 and insufficient
due to inefficient internal control system with regard to the cost of sales and the inventory of 2014 and insufficient evidence to clarify decrease in the production yield. The AIE auditor also
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business