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...
The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral for liquidity support while financial institutions giving assistance to such mutual funds are allowed to use high-quality domestic instruments as collateral for the same purpose.Concurrently, SEC has announced a measure for temporary liquidity management by allowing asset management companies to...
the vendors to improve and tested such revised systems and is now confident that the system can handle increasing number of transactions. The SEC has already informed the SEC Board of the above fact 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
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reasons, as an additional report, which is approved by the company’s board or audit committee. The SEC is confident that business operators’ implementation of this manual would not only help them achieve
has created the ESG Product Platform as an empowering tool for investors to access information on sustainable and responsible financial products and make confident decisions on their investments. This
Facebook fan page and mobile application users are welcome to receive souvenirs at the booth. The SEC is confident that everyone can achieve the life goals, if learning how to make investment and savings