for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 ( Notification No. SorThor/Nor/Yor/Khor. 3/2550
. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of
management to prevent the use of securities transactions in money laundering and financing of terrorism, which include : (1) customer acceptance / establishment of a business relationship (2) temporarily
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
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
exclusive) payable in the form of: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 8. Other supporting documents ( please specify
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