Bitazza Company Limited Between April 25, 2024 and November 25, 2024, Bitazza Company Limited ("Bitazza") as a digital asset broker, failed to comply with the rules, conditions and
KWI Life Insurance Public Company Limited KWI Life Insurance Public Company Limited (“KWI”) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and
with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology 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'
November 25, 2024, Bitazza failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza insufficiently provided the KYC/CDD system to ensure that
manager, failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems and processes for
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
Asset Management Co., Ltd. failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to invest in debt instruments of which