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...
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
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
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
experience, expertise, and readiness to directly store financial assets, enabling them to offer services to other entities with the same primary shareholders if those providers can comply with following
/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
selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those interested
?s selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those