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
) Certificate of company registration; □ (2) The copy of memorandum of association of the company which certified by the company-partnership registrar of the Ministry of Commerce; □ (3) The copy of article of
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
low; · indications of an imposed limitation of scope; · indications that client could be involved in money laundering /criminal activities; · reasons for proposed appointment /re-appointment. 6 Does the
สำหรับผู้ลงทุนที่ต้องการลงทุนระยะสั้น และต้องการความเสี่ยงต่ำ ข้อสังเกต : Money Market Fund นั้น ตราสารที่ลงทุนทุกฉบับ จะต้องมีอายุคงเหลือไม่เกิน 1 ปี แต่สำหรับ Short-term Fixed Income Fund แล้ว สามารถจะ
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
securities and the amount of money paid for securities which have been purchased by the underwriter as well. The report as referred to in the first paragraph shall be made in accordance with the rules and
whose names appear on the register of unitholders on the dissolution date of the mutual fund money or assets remaining after the payment of debts; (5) applying for registration of the dissolution of the
) “ 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