can also be used to demonstrate the extent to which they have complied with the Code. In a similar spirit, UK institutions that apply the Code should use their best efforts to apply its principles to

efficiency and practicality for the industry. On the salesperson side, the focus will be to enhance quality by recategorizing sales licenses according to levels of risk and complexity of the products. The

, volume, complexity and range of businesses and services as well as associated risks. Zipmex is required to fully comply with the order within three days as from the date on which the SEC notifies the

committees to obtain sufficient qualitative information from audit firms to support the selection of suitable auditors for the size and complexity of their business, ensure transparency, and promote the

obstruction for justice such as providing relevant facts or evidence, concealing or destroying relevant evidence, or giving false information; (6) complexity of actions or means such as using the names of other

and withdrawing digital assets. Meanwhile, the company may consider accepting new clients as deemed appropriate and sufficient by taking into account the characteristics, size, volume, complexity and

โดยใน DB2019 ประเทศไทยได้คะแนนในหัวข้อนี้ 6/10 และได้คะแนน 5/6 ใน DB2020 Best regulatory performance: India Kazakhstan and Malta 2.2 Extent of ownership and control (การเป็น https://www.sec.or.th/TH

and oversight that suitably apply to licensed corporations of different risk levels as well as diverse natures of business operation, organizational structure, business size, and complexity of the used

Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g

(United States) . ​ Extent of Ownership and Control Index The SEC has issued the Notification of the Capital Market Supervisory Board No. TorChor. 15/2563  Re: Application for and Approval of Offer for Sale