, these efforts aim to enhance supervision, improve responsiveness, and increase efficiency in order to mitigate systemic risk effectively.Furthermore, the regulatory and measure review includes stricter
) 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
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
goals. Hence, determination of regulations on supervision of derivatives clearing houses, efficient use of information technology (IT governance), and implementation of appropriate risk management and
ซักซ้อมความเข้าใจเกี่ยวกับการคำนวณค่าความเสี่ยงจากการที่บริษัทมีเงินลงทุนกระจุกตัวในบุคคลใดบุคคลหนึ่ง (Large Exposure Risk)
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business