securities business for money laundering and financing of terrorism as prescribed by the Notification of the Office of the Securities and Exchange commission regarding Rules, Conditions and Procedures for
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the AntiMoney Laundering Office (AMLO)’s amendment to the Anti-Money
, call center or other distribution via various media. 5.3 Required resources for operation Companies should prepare or procure required resources for operation, such as procurement or determination of
Depreciation and writing off bad debt and doubtful accounts Income tax to be written off (Gain) Loss from regulation of securities (Gain) Loss from assets distribution (Gain) Loss from foreign currencies
offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least
under Clause 8 of the Notification No. TorNor. 75/2552 relating to the distribution of money and documents to the unitholders shall not apply to the distribution of money and documents to the unitholders
Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism _____________ By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange
notification prescribed by the Office Re: Measures on Prevention of Money Laundering and Terrorist Financing in Securities; (5) The prevention of conflict of interest in the fund management which are proprietary
: Rules, Conditions and Procedures for Undertaking Securities Business in the Category of Securities Financing dated 13 July 1996 as amended by the Notification of the Securities and Exchange Commission No