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...
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
KANG YONG ELECTRIC PUBLIC COMPANY LIMITED | Q1/2011
KANG YONG ELECTRIC PUBLIC COMPANY LIMITED | Q2/2011
KANG YONG ELECTRIC PUBLIC COMPANY LIMITED | Q3/2011
KANG YONG ELECTRIC PUBLIC COMPANY LIMITED | Year 2011
THAI STANLEY ELECTRIC PUBLIC COMPANY LIMITED | Q1/2011
THAI STANLEY ELECTRIC PUBLIC COMPANY LIMITED | Q2/2011
THAI STANLEY ELECTRIC PUBLIC COMPANY LIMITED | Q3/2011
THAI STANLEY ELECTRIC PUBLIC COMPANY LIMITED | Year 2011