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
: elements of crime will be revised to be more concise and comprehensible as well as extended to cover non-insider who traded securities by using inside information obtained from others;2) Dissemination of
offence against the law on securities and exchange or any act deemed to be an offence related to assets or any act harmful to the economy or the national security, and shall not conceal, or be involved in
conceal shareholding information, which could lead to inappropriate behaviors in the capital market or a lack of information that may affect investment decision making of investors. The SEC is therefore
14 October 2009. Chalerm?s manipulative arrangements were systematically planned and intended to conceal the facts from the clients, which was harmful to multiple clients and caused them great damages
October 2009. Chalerm?s manipulative arrangements were systematically planned and intended to conceal the facts from the clients, which caused a number of clients great damages, while he ran off. Owing to
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efficiently. Essentially, the proposed revisions cover the following key domains:(1) Establish multiple levels of expected security controls and oversight techniques that apply differently to licensed