for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising

proceed in accordance with Clause 4(2). Clause 6 In proceeding with the actions as prescribed in Clause 4 and Clause 5, the Legal Execution Department and the SEC Office may jointly issue guidelines in

advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป

client and the execution of transaction for client to prevent the use of fund management business as a vehicle for money laundering provided that the policy on such matter should be in accordance with the

of directors or a committee appointed by the board of directors; (5) setting out the following execution in case directors, executives or other personnel are failure to perform pursuant to the

is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall

reporting such review to the intermediary ’s board of directors or a committee appointed by the board of directors; (5) setting out the following execution in case directors, executives or other personnel are

ให้บริการ (execution, delivery and product management) หมายเหตุ : 1 ให้บริษัทจัดทำและจัดเก็บข้อมูลไว้ที่ทำการเป็นประจำทุกปีภายในวันที่ 31 มกราคมของปีถัดไป 2 มูลค่าความเสียหายที่เกิดขึ้นให้หมายความรวมถึง

transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross

evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of Transactions for a Fund with a Management Company or a Connected Person _________________