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...
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
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
interested can submit an application form along with supplementary documents from January 5-23, 2015 at the SEC Office. The SEC Board will select two candidates and proposed to the Finance Minister for
can submit an application form together with supplementary documents during September 3 ? 21, 2018 at the SEC office. The SEC Board will propose to the Finance Minister for consideration. The Minister
https://publish.sec.or.th/nrs/3872se.pdf .... the Office in accordance with form and procedure together with supplementary documents as specified in the electronic work system of the Office. Clause 11 In
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