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Risk and Control
Self-Assessment : RCSA
Identifying
risk
Bottom-up
Risk
Management
Top-Down
Risk
Management
Identifying
risk
Strategic
risk
Business
risk
Risk mitigation
plan
Division Head
Internal Audit Department
Compliance Unit
Audit Committee
Risk Management
Department
Risk mitigation
plan
Department Head
Board of Governors
Risk Management
Committee
The president
SET faces changes every now and then from both internal and external factors. The external factors include
economic, political and information technology and more. The internal factors include SET implementation
strategy, organizational change and human errors, etc. Therefore, risk management process is in place
to reduce risk possibility, minimizing the likelihood to create damages on the organization’s resources
and negative impact on stakeholders. In addition, risk management will enable the Thai bourse to respond
to the changing business environment effectively. It is a practice that all levels of executives and staff
members should be aware of risks that may occur from their conduct and their unit’s operation. SET has
prescribed the risk management guidelines at appropriate level which are adequate and consistent with
the international guidelines on risk management.
1
Risk management policy
2
Risk management structure and process
Risk Management
and Internal Auditing