of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management
The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management
been in place, so that the SEC imposition of supervision and enforcement measures will be considered proportionately and appropriately, in favor of such business operators. The risk management manual
technology risk framework 1 สงิหาคม 2565 การอบรมการใชง้าน ระบบ ESUBMISSION 2©Copyright ระบบ ESUBMISSION : วตัถปุระสงค์ เป็นชอ่งทางอ านวยความสะดวกใหก้บัผูอ้อก หลกัทรัพย ์ตวักลาง และอืน่ๆ ในการจัดสง่
technology risk framework รวมคลปิบรรยาย ระบบ ESUBMISSION Phase 2 1 สงิหาคม 2565 2©Copyright ภาพรวมระบบ ESUBMISSION เนื้อหา 1. วัตถุประสงค์ของระบบ ESUBMISSION 2. การประยุกต์ใช้ Digital ID ภาครัฐ 3
checkups through a risk assessment test and target determination; (2) determining an investment plan according to acceptable risks and targets determined; (3) making investment according to an investment
market, including the supervision of securities settlement systems, is fundamentally sound, secure, efficient and reliable. They also recommended that the following identified deficiencies, mostly in the
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in
Bangkok, January 10, 2008 ? The SEC is conducting a public survey on the draft rules, conditions and procedures for risk management preparation of securities and derivatives business operators to