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

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

Permission of Securities Business (No. 3) B.E. 2555 (2012 ), and Paragraph 1 of Clause 5 of the Ministerial Regulation concerning Granting Permission of Securities Business in the Category of Financing B.E

appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant

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

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

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

consider and determine the scope of investment of mutual fund, private fund or derivatives investment management. “ investment management assistant ” means a person who performs the duty of assisting

, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a

shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the