securities business operation, the SEC issued a regulation requiring all securities companies to put in place an information technology risk management plan with database and system backup solut ions and a
business continuity plans (BCP) in coping with unexpected incidents that may affect their operations. The BCP involves having in place policy guidelines, action plan and regular testing of risk management
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
increase engagement and representation of a broader range of market participants such as investment management companies, listed firms, institutions or associations whose main focuses are investor education
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