safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by
obligation This case is in the process of inquiry by the inquiry official. DAB Act S.30 Criminal Complaint Filed with an Inquiry Official Dated 19/03/2024
and Exchange Commission, resulted from the instruction or the failure to give instruction which is a duty required to be performed. This case is in the process of inquiry by the inquiry official. DAB
ASIA WEALTH SECURITIES COMPANY LIMITED This case is in the process of inquiry by the Criminal Court. SEC Act S.97 Criminal Complaint Filed with an Inquiry Official Dated 06/03/2024
specified period in the notification of the Capital Market Board. This case is in the process of inquiry by the inquiry official SEC Act S.56(2) Criminal Complaint Filed with an Inquiry Official Dated 03
failure to give instruction which is a duty required to be performed. This case is in the process of inquiry by the inquiry official SEC Act S.300 in conjunction with 56(2) Criminal Complaint Filed with
the failure to give instruction which is a duty required to be performed. This case is in the process of inquiry by the inquiry official SEC Act S.300 in conjunction with 56(2) Criminal Complaint
(Form 56-2, 2022) to the SEC within the specified period. This case is in the process of inquiry by the inquiry official SEC Act S.56 Criminal Complaint Filed with an Inquiry Official Dated 04/04/2024
statements for the year 2022 and (2) the annual report for the year 2022 (Form 56-2, 2022) to the SEC within the specified period. This case is in the process of inquiry by the inquiry official SEC Act S