, sign audit reports, and give opinion on financial statements of securities companies, according to the Notification of the Securities and Exchange Commission concerning Approval of Auditors, and is not
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for
Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of
October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of the Securities and
of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a system of control of the operation and
place an efficient risk system for the management of financial and operational risks. In managing risks accociated with the operation of information technology, the derivatives broker shall put in place a
, the company appoints Jay Capital Advisory Limited to be Independent Financial Advisor (IFA) in order to give opinion on entering into such transaction. 5. To set the date for the shareholders’ general
value of consideration which is the basis giving the highest result of transaction. The outcome is calculated from the Company’s consolidated financial statements in interim review version for the 9-month