ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
. /25..) Guideline Prop Trade(นป. /25..) Guideline COI(นป. /25..) ประกาศเดิม : - ทธ.63/2552 - ทน.27/2552 - สน. 29/2549 1. นโยบายป้องกัน churning 2. การทำ affiliated transaction - การกำหนดบุคคลที่
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act
well as specify the investment ratios and conditions for the fund to comply. Clause 12. The management company shall regularly evaluate the performance of the respective funds and disclose the
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
investor/ institutional investor/financial institution etc. ) ……………………………………………………… □ type of transaction (OTC /on exchange etc.) ………………………………………………….. □ type of derivatives contract (futures/options