sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
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banned under the law on Supervision of Financial Institutions, either Thai or foreign law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law
need to disclose how climate change impacts their business model across four key pillars: • Governance • Strategy • Risk management • Metrics and targets 1) Board oversight 2) Management’s role 1) Risks
Commission Internal Control System to Prevent the Misuse of Client’s Assets Chapter 1 Management oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s
oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of
management of IT resources, including criteria to identify IT priorities, that takes into consideration the company’s business model. Principle 6 Strengthen Effective Risk Management and Internal Control