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...
client, client suitability, information disclosure, and clear and fair contract rules are all required. This is to assure that all derivatives fund managers will have the same minimum standards 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
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
assure that all respective systems and capital market service providers, including Thailand Securities Depository Co., Ltd. (TSD), securities firms, asset management companies and derivatives agents
/solr/secweb/select?q=electric manage OR "electric manage" OR "electrical handle" OR "electrical oversee" OR "power handle" OR "power oversee"&wt=json&indent=true&facet=true&facet.field=key_filetype
to assure that market participants and investors will have proper adjustment period. Not only will CIS be a new investment alternative for those interested in overseas investment, the SEC also expects
Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations
Transforming Economy,? attracting world-famous speakers to share their experience on corporate culture development for sustainable business as a means to handle new challenge and take care of shareholders and