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...
while focusing on protecting and safeguarding the best interests of the investors. 1.4 The private fund management company shall not follow orders of the clients without any considerations and judgments
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
exercising their bondholders' rights and safeguarding their interests and to request all and any information necessary from the bondholders' representative to have complete information for further decision
“bondholders’ representative,” who serves as a crucial mechanism for safeguarding and advocating for bondholders. The bondholders’ representative is required to comply with the Securities and Exchange
connecting peers around the world. The combination of responsibilities of boards and shareholders in a single set of Principles emphasises a mutual interest in protecting and generating sustainable corporate
when no longer required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe
required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured