, the order of systems tested being in accordance with their priority according to the results of risk evaluation, and submit to the SEC Office a report on said testing within the first quarter of the
enforcement action taken. 6 Statement of Intent (2017) (4) Ensure effective management, monitoring and evaluation, including risk and budgeting management, internal control, adequate financial resources
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
financial instruments, risk management tools to support capital market development for business sectors, and greater investment alternatives for the public. These efforts have been driven concurrently with
confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its
recommending board training and evaluation and a recommendation on considering the establishment of specialized board committees in areas such as remuneration, audit and risk management. We look forward to the
Risk Management ● Development of Debt Instruments ● Development of New Financial Instruments ● Promotion of Issuance of Non-Voting Depositary Receipt (NVDR) Achieving Efficiency for the Secondary Market
Important Tool for Risk Management ■ Development of Debt Instrument Market ■ Amendment to the Public Limited Company Act B.E. 2535 (1992) to Help with the Capital Structure of Listed Companies ■ The Use of
principles were developed cov- ering implementation and enforcement, and mechanisms that should be established for parties to pro- tect their rights. However, the Principles seek to minimise the risk of over
คณะกรรมการควรกำาหนดนโยบายด้านการบริหารความเส่ียง (Risk Management Policy) ให้ครอบคลุมท้ังองค์กร โดยให้ ฝ่ายจัดการเป็นผู้ปฏิบัติตามนโยบายและรายงานให้ คณะกรรมการทราบเป็นประจำา และควรมีการทบทวนระบบหรือ