Basic Guidelines on Securities Business Monitoring(Reference Materials and Forms)

Reference Materials

  1. Chart of Inspection Process  (PDF)

  2. List of Documents to be submitted (PDF)


Form 1

Inspection Order (PDF)

Form 2

Letter of Consent to Nondisclosure of  Inspection Information to Third Parties (Word, PDF)

Form 3-1

Request for Consent to Third-Party Disclosure (management companies) (Word, PDF)


Request for Consent to Third-Party Disclosure (other than management companies) (Word, PDF)

Form 4

Summary Sheet (PDF)

Form 5

Questionnaire (PDF)

Form 6

Monitoring Confirmation Sheet (PDF)

Form 7

Notification of Completion of Inspection (PDF)

Form 8

Opinion Submission Form (Word, PDF)

Form 9

Request for Withdrawal of Submitted Opinions (Word, PDF)

Form 10

Notification of Decision for Non-acceptance of Submitted Opinions(PDF

Form 11

Inspection Monitoring Sheet(Word, PDF

*The above may be updated without prior notice.

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