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...
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
entrust a reliable person to handle the document keeping task on his or her behalf, but the legal liabilities remain with the company secretary. Q: Is it permissible for the chairperson to authorize a
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
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
example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
likelihood and the possible effects. 7.5 The company has measures and operational plans to handle risk by either accepting, reducing, avoiding or sharing risks. 8. The organization considers the potential for