in such a manner that does not comply with the fair allocation principle; and (7) a person to whom an offeror of newly issued securities is not allowed to allocate securities under the Notification of
for the best execution under that particular situation. (3) There should be a procedure for a fair allocation of investment to the client/fund e.g. having a record for investment allocation prior to
mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed
. วัตถุประสงค์ของการออกประกาศ สำนักงานมุ่งหวังให้ผู้ประกอบธุรกิจให้ความสำคัญกับการวางระบบเพื่อรองรับกระบวนการขายและให้บริการด้านผลิตภัณฑ์ในตลาดทุนแก่ผู้ลงทุน (หรือ “ลูกค้า”) อย่างเป็นธรรม (“fair dealing”) โดยคำนึง
offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
marketing policies of the major products or services during the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the best
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016