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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degree10 Website: www.degree10online.com : Unlicensed securities and derivatives business (Disclosure Date : 17/10/2012)
doohoon Website: www.doohoon.com : Unlicensed securities and derivatives business (Disclosure Date : 28/09/2012)
website SMART MENTORS : Unlicensed securities and derivatives business (Disclosure Date : 18/11/2022)
Website https://fxvo.com : Unlicensed securities and derivatives business (Disclosure Date : 24/07/2023)
Website MP Trade : Unlicensed securities and derivatives business (Disclosure Date : 24/07/2023)