governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may potentially harm public interests. Therefore, in
securities company for the purpose of complying with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to trading of units of foreign
securities company in order to comply with this Notification or has inappropriate conduct in performing duty of giving investment advice and providing service relating to units of foreign collective investment
Notification or the guidelines specified by the securities company in compliance with this Notification, or has inappropriate behaviors in performing the duty to give investment advice and provide services
acceptance systems, compliance with procedures, and documentation of these processes. In addition, inappropriate sequence of client acceptance process leads to risks in client acceptance process because audit
-Galoc oil field, which was deemed unsuitable for further commercial development, led to a realization of impairment loss of the exploration and evaluation expenditure in the amount of USD 39.99 million or
opinion. After analyzing the root cause of these deficiencies, the SEC believes that they were caused by inadequate and/or inappropriate risk assessments during the audit planning stage. Therefore, it is
, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend
announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer, the SEC Office may order such person to amend, act or refrain to act in