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
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
damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor/Nor. 10/2552 Re: Rules, Conditions and Procedures
”, “infrastructure business”, “greenfield project” and “high net worth investor” shall have the same meanings as defined in the Notification of the Capital Market Supervisory Board concerning Rules, Conditions and