failure to order or act in accordance with duties required to be performed. SEC Act S.300 in conjunction with 56(4) Settlement Committee Meeting No. 8/2025 Settlement Committee Order No. 115/2025 Dated
used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement Committee Meeting No. 8/2025
capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.283 Settlement Committee Meeting No. 8/2025 Settlement
and truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.283 Settlement Committee Meeting No. 8/2025 Settlement Committee Order No. 126/2025 Dated 22/09
prepare and disclose the report within the period specified in the notification of the Capital Market Supervisory Board. SEC Act S.59 Settlement Committee Meeting No. 8/2025 Settlement Committee Order
requirements set out in Form 59. However, Miss Yeap Xin RHU failed to prepare and disclose the required reports within the timeframe specified by the SEC’s notification. SEC Act S.59 Settlement Committee
obligated to notify the modification of URBNPF mutual fund to the SEC office within February 18, 2023. But KKPAM notified this modification to the SEC office on May 31, 2023. SEC Act S.129 Settlement
6, 2025 to the SEC office later than the specified period. DAB Act S.30 Settlement Committee Meeting No. 9/2025 Settlement Committee Order No. 19/2025 Dated 25/11/2025
did not disclose information about the advertiser and the relationship or connection between individuals playing a key role in the advertisement and the advertiser. DAB Act S.30 Settlement Committee