The company has established guidelines and procedures to receive whistle-blowing alerts in accordance to the Whistle Blowing Policy of TMB Bank Public Co., Ltd. The main objective is to foster highest ethical standards, compliance with laws and regulations, policies and guidelines of TMBAM. In addition, this includes upholding the integrity and reputation of the staff and TMBAM. As such, channels have been established to enable TMBAM staff, vendors, customers, shareholders and business partners to discretely report any activity that is likely to be a misconduct, such as unlawful conduct, unethical conduct, embezzlement, or fraud, so TMBAM could initiate an investigation and take appropriate action on this matter.
The informant (or Whistle-Blower) may identify oneself or choose to remain anonymous, although TMBAM highly encourages the informant to reveal ones identity to facilitate the investigating team to conduct an effective investigation. The informant should also state ones address, the day and time of the observed misconduct, details of the misconduct, telephone numbers or e-mail for further contact, as the investigating team may need assistance with more information to assist in the investigation.
The alert made should be credible and contain information that is specific and has as much information as possible to assist an investigation. If possible, there should be data as evidence. Alerts made that merely contain vague information will make it difficult for an investigation to proceed and be effective.
The investment management company will maintain records of any whistle blowing alerts and the identity of individuals who provided the lead. Such information will be kept confidential except if disclosure is required to enable acquisition of additional vital information or if required by regulations that identity of informants be disclosed. Staff receiving the alert should explain these terms and conditions to the informant, before the informant reveals information about the case.
Whistle blowing may be accomplished through these methods
The informant may submit information about the case to the head of the Compliance Unit, or senior
management overseeing the Compliance Unit, or to the CEO through any of these channels.
1. A written letter delivered directly to
If reported to the Compliance Unit
Manager of the Compliance Unit
TMB Asset Management Co., Ltd.
Fl. 32, Abdulrahim Building
Rama 4 Road, Silom
Bangrak, Bangkok 10500
Tel: 02-636-1800 Ext. 8844
If reported to senior management overseeing the Compliance Unit
Deputy Managing Director - Risk Management
TMB Asset Management Co., Ltd.
Fl. 32, Abdulrahim Building
Rama 4 Road, Silom
Bangrak, Bangkok 10500
Tel: 02-636-1800 Ext. 8850
If reported to the CEO
TMB Asset Management Co., Ltd.
Fl. 32, Abdulrahim Building
Rama 4 Road, Silom
Bangrak, Bangkok 10500
Tel: 02-636-1800 Ext. 8880, 8888
2. Via telephone as shown
3. Via online forms on the companys website Online Forms
TMB Asset Management Co., Ltd.
32nd Floor, Abdulrahim Place Building 990 Rama IV Road, Bangkok 10500
Customer Service Center: 1725 Office: 0-2636-1800 Email : marketing@tmbam.com
Sitemap | Career | Links & Partners
| Disclaimer An investment in a fund involves investment risks. Please read the fund's prospectus carefully before investing.
