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
presentation of the investment amount and the gains from loss of control in subsidiaries. In addition, the information disclosed in its Q2 and Q3/2017 financial statements were incomplete and ambiguous, which is
accordingly. 2. The relationship of ABICO with a limited company and PPO Farm Co., Ltd. ("PPO Farm"), an affiliate of ABICO, is found to be ambiguous and contradictory; ABICO claimed that it was not
in its Q2 and Q3/2017 financial statements were incomplete and ambiguous, which is likely to affect the rights and interests of shareholders or the decision making on investment. For example, an
invest in some claim-to-be digital tokens which is in fact another form of Ponzi scheme. Such scheme can be detected by ambiguous business plans, products or platforms, as well as the lack of trustworthy
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of transactions, and to handle transactions by themselves or authorize another person to withdraw money in person every time to reduce the chance of damage impact. _____________________________Remark