access to the investment suitable to objectives and risk appetite. Aside from products development responsive to lifestyles, the SEC has widened investment channels to promote convenient and continuous

e-service Online Submission Derivatives Agent >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission Risk

prepared for retirement. As a result, the SEC strategic plan has been implemented to encourage the investing public to have access to the investment suitable to objectives and risk appetite. Aside from

collect information in a way that does not directly identify anyone. For more information on how these cookies work, please see our Cookies page. Save and Close Derivatives Agent |- Definitions (Section 3

Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager

แบบ RLA (Risk Level Assessment) [สำหรับการนำส่งรอบที่ 1 ปี 2566]

คู่มือ แนวทางการบริหารและจัดการความเสี่ยงทางด้านเทคโนโลยีสารสนเทศ (IT Risk Management Practice)

แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk

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