procedures stipulated in the relevant notification. In this regard, Z.COMEX submitted 23 reports of the results of monitoring and inspecting trading conditions (Daily Report) for the period from January 21
operation of INVX. She fails to perform the required duties of his position resulted in the offence committed by INVX concerning the case that INVX failed to comply with the rules, conditions and procedures
is responsible for the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in notification of the Capital Market Supervisory Board By
with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the
with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the
with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems
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, there were
, conditions and procedures as specified in the notification of the SEC; (8) engage in any other business which is not a licensed securities business, except when an approval has been granted by the SEC; Other
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By