Form 246-2 together with Forms 247-3 and 247-4 as required, which constituted non-compliance with the rules governing the acquisition of securities for business takeovers as prescribed by the Capital
Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, the CL
– September 3, 2025 Bitazza failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza failed to provide appropriate internal systems and processes for
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
acceptable to the Office. Clause 2. The derivatives broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk
received the registration statement and draft prospectus. In this regard, the dissemination of information thereof shall be made in accordance with the rules relating to the advertisement as prescribed in
. Clause 4 In providing services to clients regarding investment in capital market products denominated in foreign currency , the intermediary shall comply with not only the rules prescribed in the
services to clients regarding investment in capital market products denominated in foreign currency, the intermediary shall comply with not only the rules prescribed in the Notification on Standard of
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to