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...
website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid
regulations specified by the SEC and arrange for IT security audit and a penetration test by a knowledgeable and skilled auditor who is independent from the responsible IT Unit before commencing service
with objective to provide more flexibility for investor who is knowledgeable in the business raising fund through equity crowdfunding as well as associated risks. On the business side, the issuers will
and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
process, incentives or rewards to employees with good performance, and management measures for employees who do not achieve the targets. Such processes are well informed to executives and employees. 4.3 The
to establish a cybersecurity system in accordance with the regulations specified by the SEC and arrange for IT security audit and a penetration test by a knowledgeable and skilled auditor who is
are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to
could be exchanged or a liability settled between knowledgeable, willing parties in an arm's length transaction. 4. New policy on allowance for obsolete inventories Inventory from 1 year and above and