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
uniformed standards while providing Issuers with guide rails on best market practices for green bonds. Key additional features of the ASEAN GBS The ASEAN GBS are aligned and guided by the four core components
-Bonds/June-2018/Social- Bond-Principles---June-2018-140618-WEB.pdf 4 ASEAN SOCIAL BOND STANDARDS 2018 Key additional features of the ASEAN SBS The ASEAN SBS are aligned and guided by the four core
according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) purchase or sale for its own proprietary portfolio resulted from an error in
) purchase from securities offeror or sale to investor under securities underwriting agreement; (2) purchase or sale according to a client’s order which is not guided or solicited by the securities underwriter
securities underwriting agreement; (2) purchase or sale according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) purchase or sale for its
) a purchase or sale according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) a purchase for its own proprietary portfolio
guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) a purchase for its own proprietary portfolio resulted from an error in making trading orders for clients; (4) a
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