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...
Smart Income : Unlicensed securities and derivatives business (Disclosure Date : 21/07/2021)
ASSET PLUS FUND MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 31/03/2009 - 09/04/2009
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 30/08/2013 - 30/08/2013
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund | Offering Date : 14/10/2013 - 25/10/2013
Common share | Initial Public Offering | Offering Date - 17/09/2014 - 24/09/2014