2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such companies while the clients’ draft financial statements were being recorded into the EY
and 2 attached herewith. The OFAR system will be available for a test run during 1-30 December 2016. Thereafter, intermediaries will be required to submit their daily status report via OFAR, starting
clearing house shall regularly assess the adequacy of the value of the financial resources for covering credit risk and liquidity risk, by at least conducting the following tests: (1) a daily stress test
ความเสี่ยงสูงหรือมีความซับซ้อน เช่น (2.1) ให้ข้อมูลเพื่อให้ลูกค้าเข้าใจลักษณะและความเสี่ยงของตราสาร รวมทั้งมีการเตือนถึงความเสี่ยงที่เกี่ยวข้อง (2.2) จัดให้มีการทดสอบความรู้ของลูกค้า (knowledge test
Cybersecurity Law, such as Vulnerability Assessment and Penetration Test, etc.; and (6) Revising the third-party management provisions by extending the scope to include IT service providers or business partners
an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to
liquidity management tools, and stress test on liquidity risk according to international standards. On 20 October 2020, the Capital Market Supervisory Board Meeting No. 17/2563 passed a resolution
risk suitability test, and the event also provides customer services zones where tips regarding fraudulent solicitations and suspicious services and products are provided. Furthermore, a clinic