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...
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banks giving services as selling agents of investment units; and 5. Corporate Reform: To revise regulatory issuance guidelines to ensure that all rules and regulations are issued for necessary reasons and
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KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 01/01/2007 - 26/06/2007
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