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
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
shares for delivering to allocated persons or returning to lenders according to the obligation of over allotment of shares; (9) “overallotment of shares” means allotment of shares to subscribers in an
for delivering to allocated persons or returning to lenders according to the obligation of over allotment of shares; (9) “over allotment of shares” means allotment of shares to subscribers in the amount
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
money with an agreement to transfer financial assets to the other party in exchange for cash or other returns, whereby causing an obligation to repurchase such financial assets in the future at the amount
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
money laundering or any other similar law within three years from the date of such court order. [ ] Yes [ ] No [ specify director or executive’s full name ] Apart from the characteristics mentioned above