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...

made up evidence to camouflage that the person who ordered the trading transactions was the account owner to conceal such trading information from AEC and the regulator2. {C}'s case was deemed a failure

transactions according to the order of the account owner or the authorized person. Moreover, he made up evidence to camouflage that the person who ordered the trading transactions was the account owner to

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

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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

already been put in place to handle situations that may affect business operation and to reaffirm readiness of the stock exchange, the debt market and the derivatives market, including the clearing and

policy. On the contrary, should securities and asset management companies do not emphasize on such policy while others do, they would instead become the ones to handle social pressure,? Chalee added.