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...
>วันที่ถาม : 31/08/2548 วันที่ตอบ : 16/11/2548 คำถาม : ผู้ประกอบธุรกิจผลิตและจำหน่ายเงิน (Silver
PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 28/09/2015 - 02/10/2015
TISCO ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 01/10/2015 - 13/10/2015
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 03/11/2015 - 09/11/2015
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Feeder Fund ,Retirement Mutual Fund : RMF,Sector Fund | Offering Date : 01/10/2020 - 14/10/2020
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Feeder Fund ,Sector Fund | Offering Date : 04/10/2019 - 09/10/2019
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Silver Line Trading Intertrade Co., Ltd. Silver Line Trading Intertrade Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the