แบบรายงาน_oper risk (สธ.12/2561)

registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and

registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and

the fund due to economic crisis, public danger or other serious situations, they will be able to suspend or postpone their contributions for one year at a time with approval of the Minister of Finance

period for the applications for approval of the establishment and modification of SRI Funds, submitted during 1 January – 31 December 2024. This short-term measure aims to support asset management

characteristics. - Having the following efficient systems in place: (1) trading system, (2) information and database system with audit trail, (3) market surveillance system, (4) preventive measure against unfair

+, which is the service of Zipmex Pte. Ltd, and gained benefits from digital asset exchange fees. Additionally, such operation of Zipmex had no measure to protect the conflict of interest and to control the

. Climate change is a material risk for investors. Even without external pressures, integrating the consideration of climate risk into investment decisions is necessary. 2. Responsible Investment is a

higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the

TCFD Disclosure and Climate Risk Sam Cheung Investor Account Manager OUTLINE Overview of the TCFD Climate-related risks and its characteristics Leveraging CDP to improve TCFD alignment Resources 2