) should be in line with the policy and management of enterprise risk and should contain the following matters at a minimum: (1) identification of IT-related risks; (2) assessment of risk which covers
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and
market, and etc , the Client may sustain a loss due to its outstanding position in derivatives contracts at settlement date. 3.5 Risk Associated with Failure to Execute Stop Loss Order A derivatives agent
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
evaluations and at appraisals – what is emphasis on commercial objectives, or technical ability? 4 What is the risk of inexperienced people being out of depth at client (and effect on their dealings with client
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
ตามหมวดที่ 1 : สินทรัพย์สภาพคล่อง และให้คำนวณค่าความเสี่ยง (haircuts) ตาม หมวดที่ 2 : ค่าความเสี่ยง ซึ่งประกอบด้วยค่าความเสี่ยง 3 ประเภท คือ ค่าความเสี่ยงจากการเปลี่ยนแปลงของราคา (position risk) ค่าความ