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
of mutual fund or private fund management, or derivatives investment management company. “ fund ” means mutual fund and private fund. “ investor ” means any person interested in investing in capital
” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to be ultimately responsible for the management of the company
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti-Money Laundering Office (AMLO)’s amendment to the Anti-Money
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti-Money Laundering Office (AMLO)’s amendment to the Anti-Money
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
then asked the client to transfer the subscription money into her own banking account without actually using the money to buy such shares for the client; (2) In July 2017, Nutnicha borrowed shares of
a person whose properties have been forfeited by the court’s final judgment to vest in the State under the Law on Counter Corruption , the Law on Anti-Money Laundering or other laws in a similar
fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including