Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar
Zipmex Company Limited During the middle of 2020 to September 7, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, did not provide management
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
(Figures 4- 7 in following pages reflect the steady growth of IVL at consolidated level although the regional levels are more cyclical). Business Outlook The doubling of PTA production in The Netherlands
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee