ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer
, documents and evidence of investor contact such as record of giving advice, receiving of derivatives trading order and the details related to derivatives trading transaction, and documents and evidence
evidence regarding securities trading and maintain such evidence up-to-date for at least five years from the transaction date and the maintenance of such evidence for the first two years shall be in the from
such insider information to be used by any person. Clause 14 A securities company shall confirm a securities trading transaction with its counterparty in writing within an appropriate time after making
, it shall be deemed that derivatives trading by a derivatives broker on behalf of clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 3 For
-trading between mutual funds under the same management company, the transaction shall have the following characteristics: (a) being a transaction which is appropriate to investment policy and necessity of
trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and
under Clause 25 to clients within the periods of time as specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within