Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business, including

registration under Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business

token involve high risks; investors may lose all investment money and should study information carefully and make investments according to own risk profile.”       http://law.sec.or.th/content/4946/7987/1

risks; investors may lose all investment money and should study information carefully and make investments according to own risk profile.”       http://law.sec.or.th/content/4946/7987/1#7987 สธ. 43/2565

และการกำกับดูแลความเสี่ยงด้านเทคโนโลยีสารสนเทศของบุคคลภายนอก ตลอดจนแนวทางการกำกับดูแลแบบ risk-based supervision การกำกับดูแลการปฏิบัติของผู้ประกอบธุรกิจต่อผู้ลงทุนรายย่อย และข้อจำกัดด้านการบังคับใช้

disclosed at www.sec.or.th. _____________________________   Notes:1. Institutional investors include:  (1) Asset managers under the SEC's supervision, e.g., asset management companies, private funds and

-stimulating competition and enhance stakeholder competitiveness; (3) to protect investor rights and maintain market confidence; (4) to establish robust operational and risk management systems; and (5) to expand

/branch managers or equivalent positions)/Head Back/Compliance/Risk (deputy managers or equivalent positions/assistant managers or equivalent positions/departmental directors or equivalent positions/Head

on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not

movements, KBank is closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Risk Oversight Committee, Market Risk