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achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise
groups; - In case of a holding company, the sizes of the company operating the core business and the others shall be specified in comparison to the specified sizes under relevant regulations. 1Should the
of a holding company, the sizes of the company operating the core business and the others shall be specified in comparison to the specified sizes under relevant regulations. Should the ratios do not
procurement. (In case of financial institution, specify the sources of capital and loans); (4) Assets used in business undertaking Describe the key characteristics of the core permanent assets and core
overseas procurement. (In case of financial institution, specify the sources of capital and loans); (4) Assets used in business undertaking Describe the key characteristics of the core permanent assets and
significant working system and internal audit follow-up report together with schedule of authority (if any); (17) a copy of report or opinion of the expert (if any); (18) a checklist form of due diligence
การเงินจากหลายประเทศทั่วโลกเข้าร่วม อาทิ Securities and Exchange Commission (สหรัฐอเมริกา) Financial Conduct Authority (สหราชอาณาจักร) Monetary Authority of Singapore และ Bank of Ireland โดยมีนาง