SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 16 3 An intermediary shall arrange to have a written contract
preventive measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 163 An intermediary shall arrange to have a written
liability arises from his failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in IHL’s delayed submission of the report. SEC Act S.300 in
THL’s failure to prepare and submit the annual financial statements for the year 2021 within the period specified by the Capital Market Supervisory Board. This liability arises from his failure to issue
Offices dated 2 April 2008 shall be repealed and replaced with the following provision: “Clause 5. The securities company shall arrange for the full-service branch office to have the following work units
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
limit its liability for damage to the client caused by breaching the rules under this Notification by the intermediary, or directors, executives or other personnel of the intermediary. 6 Chapter 3