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...
undertaking PVD management business to acquire necessary data of PVD members. Such data would enable AMCs to contact and identify PVD members before making direct payments to eligible persons. The proposed
a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those interested
?s selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those
disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the
discipline, training students on correct financial management principles, encouraging responsibility and instilling the habit of spending time on activities that are beneficial to the community by
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this
, both the Board of Directors and the Audit Committee view that such transaction is reasonable and beneficial to the company. However, the independent financial advisor is of the opinion that the