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...
scripless debt securities as collateral of signatories, such as utility service users or project contractors. The scripless form is a highly-safety method, preventing counterfeit and helps lower the record
information for further investigation into certain trading transactions which may be of share price manipulation nature.In the matter of counterfeit SECC share certificates which may cause damage to the trading
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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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
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.