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...
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
=100&qf=title_th_default&fq=system_name%3ASEC_News&start=0&rows=10 1 - 10 of 95 results Sort by: Relevance Date (Newest) Date (Oldest) ’ digital assets under BX’s control or possession to other wallets
Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities
Selling of Securities in Foreign Country by Securities Company Without Having Possession
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