appointing those persons for providing services relating to securities as follows: (a) soliciting clients to trade investment units of money market fund established in accordance with the Notification of the
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 Anti-Money Laundering Office (AMLO)’s amendment to the Anti-Money
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti-Money Laundering Office (AMLO)’s amendment to the Anti-Money
capital market, therefore it 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
Re: Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale By virtue of Clause 5 of the Notification of the
). Clause 20 An intermediary shall prepare the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC
). Clause 20 An intermediary shall prepare the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC
payment information of intermediary for money transfering between customers and intermediary; (3) sending transfer instruction to banks as an agent for intermediary. “fund” means mutual fund, private fund
payment information of intermediary for money transfering between customers and intermediary; (3) sending transfer instruction to banks as an agent for intermediary. “fund” means mutual fund, private fund