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
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
to clients; (3) mutual fund management excluding foreign investment funds; (4) private fund management; (5) securities borrowing and lending; (6) financing securities business; (7) derivatives
property, plant and equipment Net cash flows from investing activities Cash flows from financing activities Increase (decrease) in on call borrowings Proceeds from fixed period loan Payment of fixed period
estimated cost ; - In case of financing acquisition of other business : describe such business and information on the status of the acquisition, as well as, the estimated cost. If the proceeds are used to
or promissory notes shall not have any restriction to redeem before date of maturity; (b) segregated by its own custody which must be done in a manner that such money can be clearly identified without
: 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
of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as
Category of the Securities Financing dated 28 July 1997; (2) Notification of the Office of the Securities and Exchange Commission No. Sor Thor/Nor. 26/2549 Re. Form for Financial Statements of Securities