and 31 Criminal Complaint Filed with an Inquiry Official Dated 02/04/2025
specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the inquiry official. SEC Act S.56(1)(4) Criminal Complaint Filed with an Inquiry Official Dated
(1) Criminal Complaint Filed with an Inquiry Official Dated 10/04/2025
accurate information was in place to ensure the status of qualified customers as high net worth investors. On May 30, 2025, the Criminal Fining Committee issued special order no. 2/2025 imposing a fine on FL
scope of work. In addition, CL did not inform the SEC about the outsourcing. This case is in the process of inquiry by the inquiry official. SEC Act S.100 in conjunction with 113 Criminal Complaint
his failure to order or act in accordance with duties required to be performed. This case is in the process of inquiry by the inquiry official. SEC Act S.300 in conjunction with 56(1) Criminal
S.56(2) Criminal Complaint Filed with an Inquiry Official Dated 18/04/2025
(2) Criminal Complaint Filed with an Inquiry Official Dated 18/04/2025
2023 (Form 56-2, 2023) to the SEC within the specified period. This case is in the process of inquiry by the inquiry official. SEC Act S.56 Criminal Complaint Filed with an Inquiry Official Dated 23