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...

Rapid changes from technological advancements, consumer behavior and greater expectations of investors are causing listed companies to adjust their business strategies by incorporating good

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

increasing the speed and caution for the enforcement process as well as promoting cooperation for human resources development, sharing of knowledge and technological know-how to ensure justice in the

technological advancements and accommodate the adoption of disruptive technology in financial services and capital market. The plan focuses on policies and approaches for optimizing useful technologies and

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create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial