ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer
daily basis. (6) investing in repurchase transaction of the securities under (2) or (3) in accordance with the following rules and conditions: (a) having a counterparty which is an institutional investor
, it shall be deemed that derivatives trading by a derivatives broker on behalf of clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 3 For
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
securities company shall send a report on a client’s assets as of the last business day of each month to the client within the fifth business day of the following month, except the month where no transaction
client confirms the transaction. Clause 13 A securities company shall not buy or sell securities by using insider information in a manner that may be deemed taking advantage of a third party or disclose
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
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that