Facebook Page ชื่อ Low risk investment : Unlicensed securities and derivatives business (Disclosure Date : 20/02/2024)
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
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
. Duangjai Dhanasthitya Director Broker-Dealer Supervision Department Mrs. Paralee Sukonthaman Director Corporate Affairs Department Mrs. Nataya Niyamanusorn Director Corporate Finance Department Mr. Prakid
closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Risk Oversight Committee, 8 Market Risk Management Sub-committee
assessing possible impacts, placing 5 importance on efficient risk management under the supervision of the Enterprise Risk Management Division, Market Risk Management Sub-committee and Risk Management
financial institutions (4) Risk supervision and consumer protection (5) Lending prohibitions (6) Asset classification and provisioning (7) Asset management and maintenance of reserve requirement (8
เปิดให้บริการในอนาคตอีกด้วย • ยกระดับการตรวจสอบความเสี่ยง (Risk Based Supervision: RBA) ของบริษัทหลักทรัพย์ บริษัทหลักทรัพย์ จัดการกองทุน และธุรกิจนายหน้าซื้อขายหน่วยลงทุน (Limited Broker Dealer and
practical knowledge and skills in the area of securities law enforcement; ë Risk-Based Approach Supervision Seminar - an in-house training for the SEC staff with guest speakers from the UK Financial Services