of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as
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
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
notification prescribed by the Office Re: Measures on Prevention of Money Laundering and Terrorist Financing in Securities; (5) The prevention of conflict of interest in the fund management which are proprietary
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย
property, plant and equipment Net cash flows from investing activities Cash flows from financing activities Increase (decrease) in on call borrowings Proceeds from fixed period loan Payment of fixed period
counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act
to clients; (3) mutual fund management excluding foreign investment funds; (4) private fund management; (5) securities borrowing and lending; (6) financing securities business; (7) derivatives
paragraph of Clause 5 of the Ministerial Regulation concerning Granting Permission of Securities Business in the Category of Financing B.E. 2555 (2012) , the Capital Market Supervisory Board hereby issues the
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