activities. Cash flow from financing activities means money arising from liabilities and owner’s equity or any other activities causing alteration of capacity and structure of the owner’s equity and borrowing
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
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
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
: 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
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
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
Disclose Information related to the assets in custody to the clients Custodian shall report the investment position, the flow of assets, rights and dividends received from the investment, and accrual/payable
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