creating risk as well as opportunity for their investments. We hope the collected wisdom in this 21st Century Engagement guide will empower even more investors to ask the right questions, and to demand
necessary measures in this area, e.g. asset management companies and financial institutions that sell mutual fund investment units were to disclose foreign exchange risk of foreign investment funds (FIF) more
แบบรายงาน_oper risk (สธ.12/2561)
แบบ RLA (Risk Level Assessment) [รอบที่ 2 ปี 2566]
แบบ RLA (Risk Level Assessment) [ปี 2567] Hash ID : f5a0a21c008f55ccced27f1b5967844645c6b90e6afeddc1aa5eca5cd042f386
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
แบบ RLA (Risk Level Assessment) [สำหรับการนำส่งรอบที่ 1 ปี 2566]
Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism
Rules in Detail on Financial Resource and Risk Management of Securities Clearing Houses
Rules in Detail on Financial Resource and Risk Management of Derivatives Clearing Houses