. Guidance has been provided for Relationship Managers (RMs) to contact customers at an early stage when early warning signs are detected. Manage credit concentration risk in terms of borrower group
early warning signs are detected. Manage credit concentration risk in terms of borrower group concentration, sectoral concentration and country concentration. Credit exposures are maintained within
our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best
featured stylized flames in red and white. (H including handle 18 cm) S h a p i n g t h e T h a i C a p i ta l M a r k e t Securities and Exchange Commission, Thailand 04 Message from the Chairman 06 Message
the partners and managers to manage the engagement more efficiently. (2) The number of EQCRs’ charged hours are between 2 to 212 hours per engagement, accounted for 0.1 to 24 percent of the total hours
and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
as the "Hot Line" to handle public inquiries in certain circumstances. In 2007, the SEC Help Center received 2,219 inquiries and 378 complaints. The most frequent issues of complaint were those in
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the