report and corrective action plan, and (2) the Risk Level Assessment (RLA). Business operators that need to activate their Business Continuity Plan (BCP) may allow employees to work from home in
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
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