Thor. (Wor) 23/2557 Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism   08/08/2014    Contact The Securities and Exchange Commission, Thailand 333

and provide data for systemic risk management. The data must be kept for at least five years from the transaction date;              2. A derivatives broker may become a debtor by judgment or a

ตั้งแต่ปี 2565 เป็นต้นมา เมื่อเดือนพฤศจิกายน 2565 IOSCO ได้ออกรายงาน Thematic Review on Liquidity Risk Management Recommendations (FR13/22) เพื่อเผยแพร่ผลการประเมินความพร้อมเกี่ยวกับการจัดให้มีหลักเกณฑ์

requirements and IT risk management system. In addition, the proposed amendments streamline licensing procedures in consistent with other securities businesses. The consultation paper is available in Thai

, with regard to risk management and investors’ protection. The proposed regulatory revision may not be perfect yet, but it’s the start for businesses to move forward. SEC is willing to learn together

for digital assets can apply for official licenses at  SEC  from now on. The standardized work systems, good risk management and well-prepared personnel will be emphasized.SEC Secretary-General Rapee

services to investors continuously and clients’ digital assets are securely safeguarded.   The SEC requires that digital asset business operators have efficient risk management and be equipped to tackle

well as adequate and appropriate risk management, especially with regard to the confidentiality of the clients’ personal trading information and cyber security, to ensure that investors receive the

aspects. The four main aspects are (1) defining a governance structure, (2) integrating with organization strategic plans, (3) risk management, and (4) setting metrics and targets. Therefore, the

Relations Annual Report SHARE : For More Information ContactUs Strategy and International Affairs Department Tel. +66 2263 9548 / +66 2263 6222 Organization Risk Management and Governance Department Tel. +66