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...

the facility’s practices and industry good practice regarding environmental and social impacts. If more than 10 significant gaps are identified, or more than 2 signficant gaps in any section assessed

significant information that is necessary for investment decision making of investors. The important information section of a prospectus under paragraph one shall be typed in an easily legible font size, except

may affect the company, fund and client or investor to reduce the risk and damage that may possibly be incurred and to allow the company to continue its businesses that are significant and necessary

and client or investor to reduce the risk and damage that may possibly be incurred and to allow the company to continue its businesses that are significant and necessary Guidelines 1. Prescription of

will have necessary competence and capabilities in significant areas. Moreover, the firms should notify those policies and procedures to the staff across the organization. 2. Policies and procedures for

. Waratchya Srimachand, SEC Senior Assistant Secretary-General, said: ?The capital market is undergoing significant changes, for example, technological disruption, wider linkage of global financial markets

period ending 31 December 2016 onwards, the form and content of the auditor?s report will contain some significant changes in line with the latest international auditing standards. This includes

Officer.“This bilateral agreement marks another significant milestone in the bilateral cooperation between Hong Kong and Thailand, following the Memorandum of Understanding on the Strengthening of Economic

Shareholders No.1/2019 to the extent that it is appropriate and necessary within the scope of laws. The Company would like to inform that the transaction of acquiring ordinary shares of KPN Academy Company