technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory
the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within a specified period. SEC Act S.Section 57(6) Settlement
another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2
selection of debt instruments before investing in the debt instruments. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 10/2020 Dated 13/03/2020
, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to put in place a sufficient and effective system for the analysis and selection of debt instruments
receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020
information for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among
to prepare and submit the incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the
the decision-making on investment or the change in the securities price of the company within specified period. SEC Act S.300 Settlement Committee Meeting No. 2/2018 Settlement Committee Order No. 10
failure to prepare and submit the defaults in Bill of Exchange, incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the