to the timeframe when the SEC considers the inquired matters. Therefore, the SEC requests that the general public acknowledge this matter and beware of the limitations of such response letters. For
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH
trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
: (1) throughout the period when the mutual fund management company does not sell or repurchase investment units, or ceases accepting purchase or redemption orders for investment units; (2) from the day
processing and confirming the redemption orders in violation of the tax terms; (2) In the case of {B}, she was found to sign the redemption orders without double-checking the correctness of
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s
renewal to be listed in the register of person qualified to be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall