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...
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
submitting the rectified and audited 2014 financial statements, due on May 8, 2015 and deadline extension for Q1/2015 financial statements, due on May 15, 2015, reasoning that the company is in the process of
February 26, 2014, reasoning that she intended to take profit for the client by selling out when the price increased and buying back when the price declined. Making trading decisions of securities in the
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
. Accordingly, the transaction is subject to the prior approval of the shareholders? meeting. CWT board of directors and audit committee viewed that the investment project is beneficial and appropriate reasoning
prior to the specified period will be subject to tax penalty. The client insisted on selling those units, reasoning that he did not claim LTF tax benefits from this portion. {A}, however, did not inform
a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share
Transforming Economy,? attracting world-famous speakers to share their experience on corporate culture development for sustainable business as a means to handle new challenge and take care of shareholders and