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
: 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
Category of the Securities Financing dated 28 July 1997; (2) Notification of the Office of the Securities and Exchange Commission No. Sor Thor/Nor. 26/2549 Re. Form for Financial Statements of Securities
securities business for money laundering and financing of terrorism as prescribed by the Notification of the Office of the Securities and Exchange commission regarding Rules, Conditions and Procedures for
underwriting, which is not limited to debt securities; (2) a securities company in the category of securities financing; (3) a securities company in the category of securities borrowing and lending; (4) a
shareholders’ equity of the derivatives broker ; (b) financing lease which is under the condition allowing for early termination of lease by the derivatives broker as the lessee without purchasing the asset