ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
unit and personnel responsible for securities dealing (front office) from work unit and personnel responsible for post-trade operation (back office). And shall arrange for the personnel responsible for
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
. /25..) Guideline Prop Trade(นป. /25..) Guideline COI(นป. /25..) ประกาศเดิม : - ทธ.63/2552 - ทน.27/2552 - สน. 29/2549 1. นโยบายป้องกัน churning 2. การทำ affiliated transaction - การกำหนดบุคคลที่
office] from the work units and personnel responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading
the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in such a way as to
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
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company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to
providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such units. At least, no