ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง

securities dealing or cease to execute debt securities dealing transactions provided that the securities company had notified to the Office the ceasing of business operation or the ceasing of transaction

such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with

management, and takeover of business Nevertheless, material assets under (b) are the assets that have been acquired or disposed by the company to the agreement to enter into the transaction as prescribed by

issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of

borrowing and lending It shall disclose the materiality of transaction briefly, namely objective of transaction, category of securities purchased under resale agreement and borrowing and lending securities

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who

issuer; (3) Transaction with private fund management company; (4) Transaction with funds under the same management company; (5) Transaction in the reverse repurchase agreement or securities lending with

securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security

: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors