test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
area and quality. Activities will range from minimal interventions to active management and could include protection from deforestation risk, voluntary and mandatory set aside and active conservation
make sure that all comments and suggestions will be taken into account as the SEC maintains the balance between industry development and appropriate investor protection. Given the 24/7 non-stop operation
stakeholder consultation before issuing or amending regulations and guidelines. This is to make sure that all comments and suggestions will be taken into account as the SEC maintains the balance between
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
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
คู่มือ แนวทางการบริหารและจัดการความเสี่ยงทางด้านเทคโนโลยีสารสนเทศ (IT Risk Management Practice)