that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules and regulations
derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
acceptable to the Office. Clause 2. The derivatives broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk
savings deposits to invest in investments. Short-term in low-risk mutual funds To manage returns better than savings deposits 1.2 Increased temporary investments as at March 31, 2019 and March 31, 2018
company has improved the sales process with customers by changing the way of contracting with customers into short-term contracts to manage the risk of freight costs that are fluctuating. Administrative
ระบบงานที่เกี่ยวข้องซึ่งผู้ประกอบธุรกิจต้องให้ ความส าคัญ ได้แก่ 1. IT Risk Management 2. Record Keeping โดยข้อก าหนดและตัวอย่างวิธีการต่าง ๆ มีรายละเอียดตามเอกสารแนบ II. เหตุผลความจ าเป็นและวัตถุประสงค์
ตองทําความรูจกัผูลงทุน และนําเสนอหนวยลงทนุที่เหมาะสมกับผูลงทุน (suitability) เชน การกําหนดกลุมผูลงทุนจากแบบสอบถาม (questionnaire) การกําหนดประเภทกองทนุรวมตามระดบัความเสี่ยง (risk spectrum) และ