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...
Total 726.04 631.90 -94.14 -12.97 179.96 158.08 150.29 -7.79 -4.93 -29.67 -19.74 C on so lid at ed S ta te m en t N D R S ta te m en t Unit : Million Baht 2018 2019 Change (+/-) Q4/18 Q3/19 Q4/19 Change
n th e v a lid a tio n o f g e n e ra tin g n e w c o v e r p a g e a n d a d d e d d o c u m e n t sy m b o l o n c o v e r p a g e fo r b e tte r u n d e rsta n d in g . 5 . P .8 0 A d d re m a rk
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
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
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of transactions, and to handle transactions by themselves or authorize another person to withdraw money in person every time to reduce the chance of damage impact. _____________________________Remark
already been put in place to handle situations that may affect business operation and to reaffirm readiness of the stock exchange, the debt market and the derivatives market, including the clearing and
policy. On the contrary, should securities and asset management companies do not emphasize on such policy while others do, they would instead become the ones to handle social pressure,? Chalee added.