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...
NMG's accounts and amended the regulations related to advertisement selling in order to facilitate the sales department to submit fake Advertising Order Entries in a NMG's system. Then, the
accounts and amended the regulations related to advertisement selling in order to facilitate the sales department to submit fake Advertising Order Entries in a NMG's system. Then, the accounting
should be announced soon and legal actions would be brought against the wrongdoers. As for the issue of fake SECC share certificates, the counterfeiting of certificates is possible under the current law
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
accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Mr. Bhusana and Mr. Chanchai made up fake documents and partially paid for