measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
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
can also be used to demonstrate the extent to which they have complied with the Code. In a similar spirit, UK institutions that apply the Code should use their best efforts to apply its principles to
securities and derivatives business. Accordingly, investors will be protected in that their investment money will be segregated from that of the business operators while investments will be handled and
malpractices of any SEC official, you can lodge a complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure transparency and fairness. HR Director Tel/Fax
of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that
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