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
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
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
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
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
, shareholders as a whole, money market or capital market on a whole as specified as prohibited characteristic in Group 3 under Clause 31. Clause 29 The following matters shall be deemed prohibited characteristics
23 of the Derivatives Act B.E. 2546 (2003) ; (2) possessing the prohibited characteristics in Group 1 under Clause 29 or in Group 2 under Clause 30, excluding the prohibited characteristics as a result
of purchaser, representing the right of the holder of such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus
company under (e) or an agreement in the nature of money lending to the company under (e), provided that a fund has already become the shareholder of such company. (4)4 “ infrastructure business ” means the