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
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
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through
handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated
funding sources.SEC found that one of the problems and difficulties that prevent SMEs from accessing funds in the capital market is the laws and rules concerning fund mobilization, which cause unnecessary
support the polyester value chain businesses in Portugal and in EMEA for the IVL group as well as for merchant markets. Due to financial difficulties of the founder, the assets which have practically
The board should monitor the company’s financial liquidity and solvency. Principle 7.3 The board should ensure that risks to the financial position of the company or financial difficulties are
/solr/secweb/select?q=electric manage OR "electric manage" OR "electrical handle" OR "electrical oversee" OR "power handle" OR "power oversee"&wt=json&indent=true&facet=true&facet.field=key_filetype