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
substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
Permission of Securities Business in the Category of Securities Financing B.E. 2555 (2012), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come
paragraph of Clause 5 of the Ministerial Regulation concerning Granting Permission of Securities Business in the Category of Financing B.E. 2555 (2012) , the Capital Market Supervisory Board hereby issues the
(No. 3) B.E 2555 (2012) and the first paragraph of Clause 5 of the Ministerial Regulation concerning Granting Permission of Securities Business in the Category of Financing B.E. 2555 (2012) , the
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
standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office
: 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
Securities and Exchange Commission No. KorThor. 5/2539 Re: Rules, Conditions and Procedures for Undertaking of Securities Business in the Category of Securities Financing dated 13 July 1996; (6) Clause 2 and