Management Name : Mr. WILLIAM LEWIS STONE | Type of securities : Common share | Methods of Acquisition / Disposition : Buy | Transaction Date : 11/12/2015
Management Name : Mr. WILLIAM LEWIS STONE | Type of securities : Common share | Methods of Acquisition / Disposition : Buy | Transaction Date : 21/06/2016
Management Name : Mr. STEVEN LEWIS GIBSON | Type of securities : Common share | Methods of Acquisition / Disposition : Buy | Transaction Date : 09/11/2017
Management Name : Mrs. ANGKANA PANYAOPART | Type of securities : Common share | Methods of Acquisition / Disposition : Buy | Transaction Date : 16/12/2015
Management Name : Mrs. ANGKANA PANYAOPART | Type of securities : Common share | Methods of Acquisition / Disposition : Sell | Transaction Date : 23/08/2016
Management Name : Mr. ANDREW BENJAMIN WALZ | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 21/03/2017
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 investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
Complex Type 2 Investment Consultant
Complex Type 2 Investment Consultant
Complex Type 2 Investment Consultant