Rules in Detail on Financial Resource and Risk Management of Derivatives Clearing Houses
.............................................................................................................................................................. 15 3.3. Pathway 2: Relative Performance Improvement ................................................................................................................................................. 16
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
respond more accurately to the changing risk landscape. Audit regulatory body also needs to follow suit by closely monitoring the growing situations to allow for an adaptive regulatory mechanism that is
Bangkok, May 27, 2014 ? The SEC revealed audit inspection results on eight audit firms; citing all of them met quality requirements. The result, however, showed room for improvement in the area of
individual auditors’ engagement. The overall results of the inspection conducted on 13 audit firms in 2016 during the third cycle, which is between 2016 to 2018, indicated continuous improvement from the
แบบประเมินความเสี่ยงด้าน IT และ Cyber Risk สำหรับผู้ประกอบุธุรกิจสินทรัพย์ดิจิทัล
Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of Intermediaries