Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity
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
AIGCC poster size ตัวอยาง Investor Climate Action Plans :ตัวอยาง Investor Climate Action Plans : "Risk Management & Alignment Target to Net Zero""Risk Management & Alignment Target to Net Zero
Lifecycle Thailand × Know Your Client Process– Standard risk questionnaire × Focus primarily on risk preference (i.e., an investor’s aversion to risk) and ignore risk capacity (i.e., an investor’s ability to
the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level
futures for hedging risk. SEC Act S.133 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
questions cover personal data, financial status, financial knowledge and experience, investment objective as well as risk appetite and willingness to take risks. For instance, it may be the case that young
40.32 percent, which was better than the target. Meanwhile, our robust capital position was sufficient to cushion against risk, and greater than the Bank of Thailand’s requirement. As evidenced, the
, resulting in fewer deficiencies detected. There are, however, other areas in which further improvements are warranted such as audit planning and risk assessments, audit procedures in response to fraud risk
professional behaviour, risk oversight and improved resources and authority of the board vis-à-vis management also have a role. The reduction or elimination of loopholes by tightening standards for board members