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
the extent that they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circular letters issued under or prescribing guidelines for
full force to the extent that they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circular letters issued under or prescribing
: Custody of Assets of Clients by Licensed Derivatives Brokers dated 22 December 2004 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to the provisions of this Notification, until
that has not covered the enforcement of investors’ rights as determined in the filing and prospectus. Other mechanisms equivalent can be used in replacement. For example, obligations or document with
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
(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