all stakeholders and TSFC is required to submit monthly progress report to the SEC.?
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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In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
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