procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for
damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and
, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board to supervise transactions that are considered conflicts of interest by investing in unrated and unlisted bill
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is failing to segregate assets under its custody as assets
held in his securities account and private funds of 6 people to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when his aggregated holding of TIGER
person as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that are (1) failing to
Company Limited through a trading account of M Capital Holdings Company Limited in such a way as to take advantage of other persons by using material non-public information concerning the decreasing
Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which violated
of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which