maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may
digital asset exchange and digital asset broker, starting from 2 February 2024. In addition, during the suspension, Zipmex is required to: (1) Rectify its financial condition to ensure compliance with
case of a complaint related to services of a securities or asset management company under the SEC supervision, first of all, the complainant should contact the compliance unit of the company directly
Other Investors and Stakeholders as Appropriate Principle 7: Regularly Disclose the Investment Governance Policy and Compliance with the Policy I Code Click Related Documents Proxy Voting
Other Investors and Stakeholders as Appropriate Principle 7: Regularly Disclose the Investment Governance Policy and Compliance with the Policy I Code Click Related Documents Proxy Voting
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
whether or not the company (and its management) have complied and, if not, the extent of, and reasons for, non-compliance. (i) Governments in each country should adopt measures to ensure the independence
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the