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

derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which

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

at the end of each month to the client within the seventh day of the following month, except there is no transaction which affects the movement or change of the assets under custody of the securities

its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records

specify under Clause 18 (1) of the Notification on Standard Conduct of Business ; (3) a person of whom a management company could be aware that if the management company enters into a transaction for a fund

July 2006 shall be repealed and replaced by the following provision: “ Clause 13. When engaging in any affiliated transaction for the fund, the management company shall act in the interests of the fund

securities / derivatives holder ประเภทหลักทรัพย์และสัญญาซื้อขายล่วงหน้า Types of securities and derivatives วันที่ทำรายการ Transaction date จำนวนหลักทรัพย์และสัญญาซื้อขายล่วงหน้า ที่ถือก่อนวันที่ ทำรายการ No

into force from 16 August 2006. Clasue 2. The following shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No. SorNor. 44/2541 Re: Rules on Affiliated Transaction

have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file