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
person of the company. Such authorized person must not be either a staff who prepares client’s assets account or a staff who keeps the client’s assets. Clause 6. A securities company must issue rules or
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
) “ 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
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
. Clause 3 . The management company managing any mutual fund may be the liquidator of such mutual fund or may appoint other person as prescribed by the Office as the mutual fund’s liquidator only when it has
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor. 19/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the