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...
implementing anti-graft practices. Should they raise concern and seriously implement policy to fight against corruption, it will bring about social pressure to reinforce social performance, particularly for the
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
/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
Bangkok, October 26 2011 ? SEC Secretary-General Vorapol Socatiyanurak expresses his concern over impact of flooding situation that ?flooding of this magnitude has affected some manufacturing and
expressed observation remarks in which the SEC considered as material to the financial statements, for example, - On-going concern problems - Significant amount of connected transactions - Adjusted items
be no large impact in implementing this measure because investors already have sufficient collateral alternatives. Therefore, investors should no longer place high concern on this issue.? Mr. Phuvanat