performance to prove that the fund manager’s responsibilities for overseeing and managing the fund as required, This is not in accordance with the work system that notifies the office before requesting to start

Zipmex Company Limited Between July and September 2022, Zipmex Company Limited ("Zipmex") failed to comply with the competent officer's orders requesting Zipmex to deliver information

;s orders requesting him to deliver information about Zipmex's business and operations such as electronic wallets for keeping and maintaining assets of its clients and details and explanations of

sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020

rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective exhaustively comprehensive risk management

procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing mutual fund, market risk and liquidity risk of daily

Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity

the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level

’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However

futures for hedging risk. SEC Act S.133 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022