constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board. That is, the securities broker failed to Inefficient
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
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