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
Cooperation. Investment Management Policy Department Tel: 0-2263-6246 The Hong Kong Monetary Authority, in conjunction with the People’s Bank of China and the Monetary Authority of Macao, launched the Wealth
: 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
เลี้ยงชีพและกองทุนส่วนบุคคลรายย่อยลงทุนหรือมีไว้ได้ โดยให้นำเงื่อนไขตามที่กำหนดไว้ในหนังสือที่ กลต.น.(ว) 1/2551 มาใช้บังคับโดยอนุโลม ทั้งนี้ องค์การระหว่างประเทศ ได้แก่ World Bank International Monetary
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
any securities; “general advice” means giving advice to any person regardless of the purpose of investment, financial position and desire of such person; “specific advice” means giving advice to any