เสี่ยง (risk management and monitoring) และการกํากับดูแล การปฏิบัติงาน (compliance) เปนตน 1. คุณสมบัตขิองบริษัทจัดการ คุณสมบตัิของผูดูแลผลประโยชน และขอกําหนดในเรื่องอ่ืน ๆ ท่ีเก่ียวกับ การดําเนินงาน
by diversifying investment with the understanding of the return and risk of each asset/group of asset . In this regard, there should be a monitoring system to ensure the conformity with the investment
of 32 (Unofficial Translation) the understanding of the return and risk of each asset/group of asset . In this regard, there should be a monitoring system to ensure the conformity with the investment
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
Classification : ใชภ้ายใน (Internal) Table of Contents Page Part 1: Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business
financial instruments, risk management tools to support capital market development for business sectors, and greater investment alternatives for the public. These efforts have been driven concurrently with
Committee Statement. (1) Supervisory Risks: To achieve supervisory objectives effectively, the SEC set up a risk management system that facilitates effective monitoring, assessing and handling of potential
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
แบบรายงาน_oper risk (สธ.12/2561)