who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of derivatives investor contact service
office service from service provider as prescribed in Clause 3 shall submit an application to the Office along with documents and details as follows: (1) Scope of back office service from service provider
encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
. Clause 7 If critical functions are outsourced to service providers, intermediaries shall arrange business continuity plan to covers events of disruption of service providers except where intermediaries
) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management; (2) “derivatives business license type Sor-2” means a license to undertake derivatives business
specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities
Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
” means a license to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management