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
incriminated nor prosecuted under the laws, either Thai or foreign, on anti-money laundering by an authority in charge and shall have no records on such offence during the period prescribed by the Office and no
guidelines for investor contacts; (c) Relevant laws such as anti-money laundering law, law governing commercial banking, etc. The Office will not determine attendance hours of the activities under 2.1 and 2.2
money laundering or any other similar law within three years from the date of such court order. [ ] Yes [ ] No [ specify director or executive’s full name ] Apart from the characteristics mentioned above
laundering control; (9) Having been sentenced for commission of any offense under the securities and exchange laws, the laws governing the undertaking of finance, securities and credit foncier businesses, the
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
เงินแต่ละประเภท ดังนั้น สำนักงานจึงได้ยกร่างประกาศตามที่กล่าวในข้อ 1. ตามแนวทางในกฎหมายฟอกเงิน มาตรการของสำนักงาน ปปง. ข้อแนะนำของ Financial Action Task Force on Money Laundering (FATF) และแนวทางที่
dishonest business practice, or the law on anti-money laundering, regardless of whether such laws are domestic legislations or foreign legislations. It also shall have no record indicating frauds, dishonesty
client and the execution of transaction for client to prevent the use of fund management business as a vehicle for money laundering provided that the policy on such matter should be in accordance with the