examinations recognized by the SEC and have work experience in preparing technical analysis researches. Also, they must not possess any prohibited characteristics of personnel in capital market. The consultation
work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. DAB Act S.94 in conjunction with 30 Settlement Committee
assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.94 in conjunction with 30
scope of work. In addition, CL did not inform the SEC about the outsourcing. SEC Act S.100 in conjunction with 113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025 Dated
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
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide a structure for managing, the work system including
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel
chart Details relating to CAZ Nature of business: Oil and Gas Construction Company (Engineering Procurement Construction) including Engineering Design, Fabrication, Civil and Erection work with project
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office