, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors

, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

notes offered to Institutional or High Net Worth investors (II&HNW) through the transmission system of the SEC Office the period specified in the notification of the Securities and Exchange Commission

;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

liable for UOB’s failure to prepare and submit the report on the sale results of structured notes offered to Institutional or High Net Worth investors (II&HNW) through the transmission system of the

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the