responsible for the work of a department in the company; “Executive” means director, manager or any person with management power; “Training Institute” means Thailand Securities Institute and other training

board of director of the company who is responsible for the highest authority to manage the company, by whatever name called. “major shareholder” means a person who holds directly or indirectly more than

person who is assigned by the board of directors to be the highest level responsible person in the management of a company. “ head of department ” means a person responsible for the work in the

review function made up of one or more senior managers responsible for conducting a rigorous, formal, and periodic review, on a regular basis pursuant to an established t credit rating methodologies

/ mailto:thanikul@sec.or.th I. ที่มา เพ่ือสร้างความน่าเชื่อถือและเป็นการแสดงความพร้อมของผู้ลงทุนสถาบันของไทย ในการปฏิบัติหน้าที่บริหารจัดการลงทุนด้วยความรับผิดชอบ (Responsible Investment) ส านักงาน จึงได้ออก “หลักธร

workers who are responsible in each division, considered in specifying the frameworks, policies and reviewing the methods of the Company’s risk management to cover and comply with the economic condition

been granted prior approval by the authorized Committee or management concerned; (c) number of persons and information of the personnel who are responsible for risk management arising from derivatives

been granted prior approval by the authorized Committee or management concerned; (Translation) (c) number of persons and information of the personnel who are responsible for risk management arising from

should have been disclosed. In addition, I hereby certify that I am responsible for the arrangement of the Company’s efficient internal system and adequate management system to ensure that the information

responsible for the management of foreign collective investment scheme; “home regulator” means a regulator that has the authority to supervise foreign collective investment scheme or a CIS operator; “brokerage