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[Alpha Biz=(Chicago) Reporter Paul Lee] NH Investment & Securities, KB Securities, and Shinhan Investment & Securities are being considered for this year's regular inspection by the Financial Supervisory Service, which will be announced next week. Daishin Securities, which has never been on the inspection list, is also being mentioned. Soundness risk management is expected to emerge as a key keyword this year, with the Financial Supervisory Service reportedly looking into system management capabilities in relation to securities firms' computer errors last year.
According to the financial authorities on the 7th, the Financial Supervisory Service has delivered a list of financial firms subject to regular inspections to the Financial Services Commission this year. The company will be announced as early as the 15th after the Financial Services Commission confirms it next week. The Financial Supervisory Service decided to announce the subject of regular inspections in advance at the beginning of the year through the reorganization of the inspection system last year.
An FSS official explained, "The number of inspection targets is similar to that of previous years, and financial firms that have not been inspected for a long time are also a priority." Regular inspections are only for financial firms of a certain size or larger, while other securities firms are conducted through occasional inspections.
Alphabiz Reporter Paul Lee(hoondork@alphabiz.co.kr)
