and provide data for systemic risk management. The data must be kept for at least five years from the transaction date;              2. A derivatives broker may become a debtor by judgment or a

business operators. This is because such unlicensed activities do not come with legal protection, and the investing public is exposed to the risk of falling victim to scams. It should be noted that all

international transmission of major international exchanges volatilities was illustrated by the global financial market risks proxied by risk indicator (VIX Index), commodity prices (oil and gold) and difference

investors under acceptable risk levels and performance persistence at higher yield than that of the benchmark. The study showed performance persistence in Thai equity funds over the periods of time

, causing IFA unable to appraise the project value; (4) various risks associated with the acquisition of APU shares such as risk of fines payment to Myanmar government due to delay started of the project from

client due diligence ? e.g., clients? investment objectives, personal conditions and risk tolerance ? before giving advice, attached with supporting reasons, on suitable funds for their investment. In

checkups through a risk assessment test and target determination; (2) determining an investment plan according to acceptable risks and targets determined; (3) making investment according to an investment

framework with the belief that the business sector being driven by the framework of the guiding principles will be strengthened in the management of operational risk. More importantly, the operations of

ตั้งแต่ปี 2565 เป็นต้นมา เมื่อเดือนพฤศจิกายน 2565 IOSCO ได้ออกรายงาน Thematic Review on Liquidity Risk Management Recommendations (FR13/22) เพื่อเผยแพร่ผลการประเมินความพร้อมเกี่ยวกับการจัดให้มีหลักเกณฑ์

requirements and IT risk management system. In addition, the proposed amendments streamline licensing procedures in consistent with other securities businesses. The consultation paper is available in Thai