interest to REIT, REIT manager shall identify measures to prevent conflict of interest, and explain whether REIT manager has implemented such procedure and how; (5) in the case where REIT invests in a real
the information on the clients’ assets under its custody. The exchange is also required to show evidence on the investments of the clients’ digital assets that had been deposited with ZipUp via various
-production contract. The current procedure is in the process of executing for one case; while the other two are in the process of investigating additional property to further enforcement. Progress Report of Q3
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
Picnic Corporation Public Company Limited Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is
Customer Due Diligence : KYC/CDD procedure. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to