ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
on risks and possibility of major operational disruptions due to a possible emergency incident, as well as analyse a business impact and assess damages from major operational disruptions, so that
appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to
exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti
should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to
has rendered improper benefit to a client differentiated from it should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out
investment units, or [ii] suitability of making such transaction. Division 2 Appointment of marketing representative of private fund ___________________ Clause 10 In appointing a natural person to be a
clearly understands such investment or transaction; (3) give advice to the client with balanced view [i] composing of characteristics, strong points, limitations, returns, and possible risks of risky or