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...
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recommended or necessary pre-issuance and post-issuance disclosures is provided in Appendix I for reference. 9 For Second Party Opinions and Verification on sustainability-linked bonds, see: https
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