ข้อเสนอหลักเกณฑ์ที่เกี่ยวข้องกับ affiliated transaction ของกองทุนรวม PAGE ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ สน. 44/2541 เรื่อง หลักเกณฑ์การทำธุรกรรมกับบุคคลที่เกี่ยวข้อง
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
, conflagration, storm or epidemics. 9.5 Human-caused disaster, such as, terrorist, being caught as hostage or cyber attack. BCI Good practice guidelines http://www.thebci.org/ High-level principles for business
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
institutional investor under the Notification of Securities and Exchange Commission concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ high net worth
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
engagement/client’s relationship: · discussing with the appropriate level of client’s management /those charged with governance the appropriate action the firm may take; · if the firm determines that it is
each including respective solution guidelines. 2.4 Under-construction projects Only in case of high-value, time-consuming projects or assignments such as building or ship construction projects, disclose
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means