Bangkok, March 26, 2015 ? The SEC recently hosted ?3rd ASEAN Audit Inspection Workshop? and ?2nd ASEAN Financial Statement Surveillance Workshop,? the international audit oversight events, in Bangkok
, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
language Encourage risk management by investment management operators ● Developed a risk monitoring and controlling system for equity funds ● Established guidelines for maintenance and monitoring of asset
Department, (4) Ms. Kilina Karintasut, Director of the SEC Internal Audit Department, and (5) Mr. Jesada Paramabhronpilad, Director of the SEC Information Technology Audit and Cyber Risk Supervision
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
เครื่องมือให้ข้อมูลแก่ผู้ลงทุน (SEC Check Tools) อาทิ SEC Check First, SEC Fund Check, และ SEC Bond Check รวมทั้งผลงานด้านการส่งเสริมและกำกับดูแลด้านไซเบอร์ในภาคตลาดทุน (Cyber Risk Supervision in Capital
surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement
one director with IT knowledge or experience, while a Risk Supervision Committee must be established to provide assistance to the Board of Directors with regard to risk supervision. 3. Approval of the
management procedures to support business operations via each service channel in compliance with the new regulation. 6 Financial Institutions’ IT Risk Supervision The Bank of Thailand (BOT) issued