order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities
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-personnel Mutual Fund Report and Prospectus System SEC Open Data Services Market Statistics (Download) Market Statistics (Dashboard) ISIN Code ESG Product Platform SHARE : For More Information ContactUs SEC
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structure, operating system, and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.30 Settlement Committee Meeting No. 4/2023 Settlement Committee Order No. 1/2023
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal
sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees