on non-complex capital market products as well as all types of high-risk or complex products. For example, investments units of mutual funds offered for sale to institutional investors or ultra-high
และการกำกับดูแลความเสี่ยงด้านเทคโนโลยีสารสนเทศของบุคคลภายนอก ตลอดจนแนวทางการกำกับดูแลแบบ risk-based supervision การกำกับดูแลการปฏิบัติของผู้ประกอบธุรกิจต่อผู้ลงทุนรายย่อย และข้อจำกัดด้านการบังคับใช้
) Enhancing supervision and effective enforcement in the Thai capital market; (7) Ensuring systemic risk management in a timely manner; (8) supporting liquidity enhancement tools for businesses affected
stability and prevents systemic risk to promote sustainable financial market growth, and worked closely with the Stock Exchange of Thailand to reduce redundancy and facilitate the business sector.?SEC has
recommendations. Topics valued by international investors such as ESG and risk management may be included in a revision. It thus presents a challenge for Thai listed companies to learn and grow CG to raise the bar
non-complex capital market products and complex or high-risk debt instruments or investment units, e.g., investment units of mutual funds offered to institutional or ultra-high net worth investors
any transaction not their own, or risk being exploited for an offense without their knowledge or subject to litigation in connection with an investment consultant?s misconduct
and truly help boost working efficiency. For back office staff, additional knowledge on new financial instruments, risk management and regulations are needed for the staff to cope with dynamically
interest properly, and prioritize advancing the best interest of clients by identifying potential conflicts of interest in various areas such as the management structure, work system, control and risk
providing them with more information in response to development in capital market and new products. In addition, the rules on fund?s investment diversification must also be revised by taking into account risk