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
Mr. Burim Chombhubol Between January 5, 2009 and March 27, 2009, Mr. Burim Chombhubol, T.U. Dome fund manager at that time, and Mr. Maris Tarab, former ING Funds managing director and T.U. Dome fund
Mr. Maris Tarab Between January 5, 2009 and March 27, 2009, Mr. Maris Tarab, then ING Funds managing director and T.U. Dome fund manager, and Mr. Burim Chombhubol, another former T.U. Dome fund
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
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
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
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