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

policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the

exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti

) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

) or (d) for the benefit of future transaction, the securities company shall include such money to the balance on the notification date for the calculation of segregated assets as the client’s assets

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

client and the execution of transaction for client to prevent the use of fund management business as a vehicle for money laundering provided that the policy on such matter should be in accordance with the

selling, transferring, or redemption before maturity, and shall have credit rating according to clause 7/2; (5) investing in investment unit of money market fund which has unit repurchasing policy on a

and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current