ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
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
securities / derivatives holder ประเภทหลักทรัพย์และสัญญาซื้อขายล่วงหน้า Types of securities and derivatives วันที่ทำรายการ Transaction date จำนวนหลักทรัพย์และสัญญาซื้อขายล่วงหน้า ที่ถือก่อนวันที่ ทำรายการ No
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
Certification Program (DCP) [ ] Director Accreditation Program (DAP) [ ] Audit Committee Program (ACP) [ ] Finance for Non-Finance Director (FN) [ ] The Role of Chairman (RCP) [ ] Understanding the
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer
providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
member country executing the Memorandum of Understanding Concerning Cooperation and Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the
lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to deliver securities