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...
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
the activation of circuit breaker system when mai Index dropped by 10 percent. It had sent market halt to all members? system, resulting in an automatically halt in the trading system of all members. 2
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
trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders
the meeting. If the meeting’s notice has not been sent, listed companies are requested to inform shareholders to utilize this option. If it has already been sent, the message could be sent to the
(PLE)?s shares by using material non-public information. According to Mrs. Usavadee Srisuchart?s order, Mr. Perayuth Nark-In sent trading orders of PLE?s shares through others? accounts and assisted in
Bangkok, October 20, 2008 ? The SEC Office sent a written request for relevant information on the SC Asset Corporation Plc. (SC) case to the Office of the Attorney-General after the public