new money laundering and financing of terrorism techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. Chapter 2 Know-Your-Client / Customer Due Diligence

money for debt repayment has been set aside, the liquidator shall distribute, proportionally to the unitholders’ holding, the remaining money to the unitholders whose names appear on the register of

) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account

significantly, the securities company shall inform its clients of certain change without delay; (2) inform its clients that when a securities company encounters financial problems, the client’s money which has

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

กล่าวได้ ( มีคำถามว่าในกรณีที่บริษัทมีการซื้อหุ้นคืน จะถือเป็นหุ้นที่จำหน่ายไปแล้วในการคำนวณจำนวนหุ้น รองรับ warrant หรือไม่ - สำหรับข้อเสนอเพิ่มเติมของเอกชนเช่น การให้ ตลท. กำหนดเครื่องหมายที่แตกต่าง

Thailand to set up a mutual fund and offer investment units to investors, the money received from such offer shall constitute a pool of assets that is required to be registered as a mutual fund with the Thai

conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under

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

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