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
value of capital market product by [i] considering factors which impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction
impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction of an entity issuing capital market product and various business
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
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
: Rules, Conditions and Procedures for Undertaking Securities Business in the Category of Securities Financing dated 13 July 1996 as amended by the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. KorThor. 5/2539 Re: Rules, Conditions and Procedures for Undertaking of Securities Business in the Category of Securities Financing dated 13 July 1996; (6) Clause 2 and
of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as
ดึงดูดผู้ลงทุนทั่วโลกให้ภาคเศรษฐกิจไทยใช้ตลาดทุนไทยเป็นแหล่งระดมทุนด้วยต้นทุนที่แข่งขันได้กับประเทศอื่น (3) ครอบคลุมทุกภาคส่วน (Inclusiveness) ทำให้กิจการต่างๆ มีโอกาสเข้าถึงตลาดทุน (market based financing
in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of