PowerPoint Presentation การซกัซอ้มวธิกีารค านวณคา่ความเสีย่ง Large Exposure Risk ฝ่ายนโยบายธรุกจิตวักลาง มถินุายน 2563 Counterparty Risk Large Exposure Risk (LER)* Position Risk Investment Risk
concentration risk due to investment in products of any single issuer. Under such conditions, a credit risk on any specific issuer in a term fund’s portfolio could adversely affect the net asset value of the
accordingly: (1) to define business objectives and goals to create sustainable values for the business, (2) to achieve the goals through the mechanism of committee composition, oversight and development of
conduct. 2 The company should specify anti-corruption measures suitable to the risk profile of the company. 2. The board of directors demonstrates independence from the management and exercises oversight of
Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Business Operators Mutual Fund Registered Person Cross-border
processes to enhance the SEC’s investigative authority, particularly in high-impact cases. Further efforts will also focus on disclosure standards and oversight of market professionals. Regarding digital
importance of prevention and suppression of crimes, from the beginning to the end of the process, for market oversight in the digital age. In this respect, SEC has set an enforcement direction that focuses
and products, smart investment based on risk profile, basic portfolio building, how to exercise investor rights to avoid frauds and scams. There are also edutainment activities such risk-taking games