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...

business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team

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

/solr/secweb/select?q=electric manage OR "electric manage" OR "electrical handle" OR "electrical oversee" OR "power handle" OR "power oversee"&wt=json&indent=true&facet=true&facet.field=key_filetype

by other asset management companies or selling agents who handle investors? subsequent investments. The risk profile, however, must be updated at least once a year.The questionnaire is useful for both

already been put in place to handle situations that may affect business operation and to reaffirm readiness of the stock exchange, the debt market and the derivatives market, including the clearing and

consultants to handle suitable portfolios for investors through different company names such as Global Investments Far East Ltd. and Global Investments International Ltd. via www.globalinvestments.net and

2018 and 2019 were 18.9% and 17.6% , respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration