ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
information on any potential conflict of interest to the client adequately and appropriately\ prior to entering into such transaction. Clause 10 In the case where an intermediary has a reasonable ground to
characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in
interest in which an intermediary is allowed to involve _____________________________ Clause 22 In case an intermediary has a reasonable ground to enter into a transaction being conflicts of interest as
into force from 16 August 2006. Clasue 2. The following shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No. SorNor. 44/2541 Re: Rules on Affiliated Transaction
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
Conflicts of Interest in Which an Intermediary Is Allowed to Get Involved _____________________________ Clause 22 In case an intermediary has a reasonable ground to enter into a transaction being conflicts of
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
subscribers within a reasonable period. Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company must provide details of the results of the offering of investment units
regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification