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...
necessary and reasonable. 2. Rules for considering Associated Persons 2.1 In the case of normal persons: the unitholders, the spouse and children not becoming sui juris, and the private fund of such
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. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith and intend to conduct the case to protect the interests of the class members. Secondly, the
ambitious SLB; they aid investors by promoting accountability of issuers in their sustainability strategy and availability of information necessary to evaluate their SLB investments; and they assist
demonstrate his or her good faith and intention to conduct a case for protecting the interests of members of a class. In addition, the counsel of the plaintiff shall show to the Court that he or she has
of trust property is necessary in order to reimburse the proceeds or property to the trustee, the trustee is empowered to do so but only to the extent that it is done in good faith. For the purpose of
prescription of guidelines for consideration of any issues that may arise from the enforcement of this Act. SECTION 9 The SEC Office shall have the power and duty to perform any act necessary for the
necessary for the implementation of the SEC’s resolutions and to perform any other acts under the provisions of this Act. Such power and duty shall include: (1) the issuance of notifications or orders