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
controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger
flexibility in business operation as well as greater competitiveness, and in line with the trend towards consolidated supervision of financial institutions of the Bank of Thailand.
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section
requirements of the revised regulations as well as providing guidelines for business operators accordingly. For further information and inquiries, please contact Ms. Sireethorn Civilize, Assistant Director, at
line of work relating to capital markets according to Clause 7; (3) a person to be appointed shall not be a director, executive, or employee for another company which undertakes business similar to or in
and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and
conjunction with (11) and (12) of the first paragraph under Clause 12 and Clause 14 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management