services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
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
duration. Spending Objectives Amount of Spent Money (approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives
shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
and clarify the risks of losing returns or rights or investment money, in whole or in part. The aforesaid risk factors include only those likely to affect the Company, the group of companies or the
exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti