(section 92) Net Liquid Capital (section 97) Capital Reduction (section 98(1)) Anti-fraud Provisions (section 98(3)) Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) Proprietary
) |- Association Related to Securities Businesses (section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering and Combating of Terrorist Financing |- Others Executives of securities
) |- Auditors | - |- Approval (Section 30) |- Accounting and Financial Statements (Section 27, 28) |- Reporting Requirements |- Anti-money Laundering |- Arbitration |- Appeal |- Others | - |- Public Holidays
Company Name Licensee Type Status Company Name : Licensee Type : Score Type : Anti-Corruption Status : Certified by CAC Declared to join CAC Ensure its compliance by parent company Assessment Type : Status
launder money causing damages to ADAM even though it was known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme
known at that time that Kitha was being investigated by the National Anti-Corruption Commission (“NACC”) on a case relating to rice-pledging scheme and Kitha was not qualified to be a listed company in
to the Anti-money Laundering Office (AMLO) for consideration of actions within their authority as the offenses in this case constitute predicate offenses under the Anti-Money Laundering Act B.E. 2542
positions at securities issuing companies or securities companies, with the maximum applicable statutory penalties. Furthermore, the SEC has reported the proceedings in this case to the Anti-Money Laundering
notified the legal action under the Securities and Exchange Act to the Anti-money Laundering Office as the persons’ acts are also a predicate offense under the Anti-money Laundering Act B.E. 2542 (1999
notified the filing of such criminal complaint to the Anti-money Laundering Office (AMLO) because the offense of manipulating price and volume of securities is deemed as a predicate offense under the Anti