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...
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
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
buy securities in the manner that risked their financial status and payment ability Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21
systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30
with the situation. And able to handle various situations the company expected that the overall situation in the second half of this year will be better than the first half. The company has 12 projects
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
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their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...