Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client
and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer, if any; and (d) the legal advisers to the
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
เติมพบว่า {ก} ไม่แจ้งหลักเกณฑ์ Volatile Stock ซึ่งเป็นข้อปฏิบัติเกี่ยวกับข้อมูลความเสี่ยงของหลักทรัพย์บางหลักทรัพย์ และภาระหน้าที่ในการชำระเงินค่าซื้อหลักทรัพย์ดังกล่าวให้ลูกค้าทราบก่อนที่ลูกค้าสั่งซื้อ
(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
+OR+%22electrica... English (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
rating or investment view on the equity security of the company or related products. Volatility Indicator [V] : A stock is defined as volatile if the stock price has moved up or down by 20% or more in a