business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
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
Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism; (c) operating system for management of mutual fund and private fund of the branch
: 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
notification prescribed by the Office Re: Measures on Prevention of Money Laundering and Terrorist Financing in Securities; (5) The prevention of conflict of interest in the fund management which are proprietary
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
companies licensed to undertake securities business in the category of mutual fund management; and (4) The securities companies licensed to undertake securities business in the category of private fund