ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force from the day following the date of its publication in the Government Gazette except
(2003)” SECTION 2. (( This Act shall come into force after one hundred and eighty days from the date of its publication in the Government Gazette. SECTION 3. In this Act: “goods” means securities, gold
company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to
derivatives dealer , the derivatives dealer shall engage as a counter party in derivatives trading solely with the following clients: (1) institutional investors (2) other juristic persons who trade in
in any particular category or any particular transaction that requires reporting, and when the order of the SEC or the Office has come into force, shall be exempt from filing only such reports relating
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
Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2551 Re: Amount of Damages Arising from Derivatives Transaction for Settlement by Arbitration _____________ By virtue of Section 9 and the second
Notification together with two photocopies thereof to the Office. Clause 3. This Notification shall come into force from 1 November 2004. Notified this 19th Day of October 2004. Thirachai Phuvanatnaranubala (Mr