Checklist คุณสมบัติตามเกณฑ์ SPO normal track บริษัทไทย
adequacy to facilitate current and future business undertakings both in normal and stress situations. Establish risk management policies and risk appetites. Set the risk limits for the significant aspects
trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO
orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. The said persons cooperated
, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment. In so doing, they solicited and invited persons who wanted to invest in
on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. The said persons cooperated by using 8 securities
continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition. The said persons cooperated by using Miss Uraiwan’s 6 securities
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's