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

such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its services to the transaction set forth in

1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and

to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

. /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

transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities company shall not trade

transaction of the client does not violate or fail to comply with the procedure and method set. Clause 22. A securities company shall not trade securities by using the account of a client for another client

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

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

funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which the securities