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...
Offeror : NHCT Co.,Ltd. | Date of submission of the Statement of Intention : 05/08/2008
Reporting Person : - | Type of securities : - | Date of reporting obligation : 22/03/2004
Reporting Person : - | Type of securities : - | Date of reporting obligation : 01/06/2005
Reporting Person : - | Type of securities : - | Date of reporting obligation : 16/03/2006
Reporting Person : - | Type of securities : - | Date of reporting obligation : 03/08/2006
Reporting Person : - | Type of securities : - | Date of reporting obligation : 17/02/2004
Reporting Person : - | Type of securities : - | Date of reporting obligation : 10/02/2006