2017 > CG Code > Principle 6 Strengthen Effective Risk Management and Internal Control CG Thailand Overview CG and sustainable business development SEC Roles Related organizations Related
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators
) English (United States) CGCodePart01_6 2017 > CG Code > Principle 6 Strengthen Effective Risk Management and Internal Control CG Thailand Overview CG and sustainable business development SEC Roles
need to establish efficient control and risk management system. SEC is therefore conducting a public hearing on the proposed amendment to repo / reverse repo agreement regulations whereby the eligible
, securities companies would need to establish efficient control and risk management system.SEC is therefore conducting a public hearing on the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8074 Public
control and risk management system.SEC is therefore conducting a public hearing on the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8074 The SEC rejects deadline extension for EARTH special audit