Securities Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in complex fund sale system accordance with the
concerning the value of securities or the suitability of investing in those securities and managing funds of a person or group of persons to acquire benefit from securities in consideration of a fee or other
securities or the suitability of investing in those securities of a person or group of persons to acquire benefit from securities in consideration of a fee or other remuneration, which was committed through