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
operator shall prepare reports of financial status and operating performance on a monthly basis, and file them with the SEC Office within the fourteenth day of the following month; (2) the business operator
report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only
timing such as: 1. Issue monthly report to show the flow and the balance of assets in each month; 2. Issue daily report in the case of client’s order to transfer money or assets to other person or in the
the process of liquidation as deemed appropriate. The liquidator shall also submit to the Office a monthly report on the progress of liquidation until the liquidation is completed. The provision under
at a fixed rate in porportion to the operating months (monthly pro-rate). Clause 5 The licensees of the following licenses shall pay a varying fee based on the business volume at the rate specified for
ธุรกิจ (monthly pro-rate) ข้อ 5 ให้ผู้ได้รับใบอนุญาตประเภทดังต่อไปนี้ ชำระค่าธรรมเนียมที่ขึ้นกับปริมาณธุรกิจ ตามอัตราที่กำหนดไว้สำหรับแต่ละประเภทกิจการ (1) การเป็นนายหน้าซื้อขายหลักทรัพย์ (2) การค้าหลัก
information on such transaction on the website of the mutual fund management company on a monthly basis, as well as disclose such information in the report of the mutual fund for an accounting period, and in
, management company shall specify such details in the private fund agreement. Clause 18. Affiliated Transaction for mutual fund as the following cases, mutual fund management company shall provide monthly
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place