. SorNor. 4/2569 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, and Mutual Funds for Institutional Investors (No. 14), dated 24 March 2026
and January 20, 2025, Merkle failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal 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, the CL
– September 3, 2025 Bitazza failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza failed to provide appropriate internal systems and processes for
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch