fortify the firm’s quality control system. The SEC believes improvements on the following issues would further strengthen this element of the firm-level quality control. 13 Risk assessment during client
achieved continual growth despite the emergence and persistence of multiple risk factors such as higher oil prices, global economic slowdown especially in trade alliance countries, exchange rate volatility
intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and
แบบรายงาน_oper risk (สธ.12/2561)
to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls
corporations depending on their inherent technology risk, which varies in terms of nature of business, organizational structure, business size and complexity of the utilized technology. In addition, the scope of
by the fourth quarter of this year with the aim to provide more investment choices and help strengthen the financial system.SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market
The webinar was part of the continued collaboration between the SEC Thailand, the CFA Institute, and the CFA Society Thailand to strengthen ESG foundation for securities businesses in Thailand. In
แบบ RLA (Risk Level Assessment) [รอบที่ 2 ปี 2566]
characteristics and risks associated with rapidly evolving digital assets and apply the principle of “same activity, same risk, same regulatory outcome.” This aligns with the TDO's important goal of driving the