การบริหารความเสี่ยงด้านปฏิบัติการสำหรับการเปิดบัญชีเพื่อซื้อขายหลักทรัพย์ : กรณีศึกษา บริษัทหลักทรัพย์แห่งหนึ่ง / กรรฐนาถ ฤกษ์ไพสิฐกุล=The study of an Operational Risk Management for open account to trading securities: Case study of Security Company /Kuntanart Rergpisitkul
The objective of this independent study project are analyze and assess enterprise risk management base on COSO ERM 2004 framework of Securities Company an identify events that could impact the company’s ability to achieve its enterprise risk objective only operational risk. In addition, the sufficiencies of current control activities are also evaluated. Data was corrected by interviews from related person in this activity also reviews in company’s documents and site observing. Identify event, risk assessment and analysis are preceded and risk management plan and additional control activities are proposed. The result shown that the company operational faces 14 risk with respect to exposure level, there are 4 low risks, 7 medium risks and 3 high risks. Three risk management plans and proposed to reduce high risk to the company’s risk appetite level. Moreover, additional control activity is introduced to 1 risk exposure that lack of control activity.