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...

from Thai securities firms which handle the trading accounts in question and is seeking collaboration from foreign securities firms and their home regulators for an access to additional information that

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

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in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management

following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain

objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset

of transactions, and to handle transactions by themselves or authorize another person to withdraw money in person every time to reduce the chance of damage impact. _____________________________Remark