which contains at least material information in the following matters: (1) duties and responsibilities of a service provider which include one of the following details: (a) liability to the intermediary

the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the

an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of interest to the fund, provided that, in case of (1) shall apply as

Section only. Providing that such segregation may done by arrange computer one by one or arrange the zone within the same computer. [M] · Requestor and concerned user should have participation in

: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact

foreign service provider ] intermediaries shall outsource the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider

provider of overallotment shares is able to provide over-allotment shares in full amount as required to be delivered or returned to a securities underwriter who is obliged to provide over-allotment shares in

” means the day on which an offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over-allotment shares in full” means the day on which a provider of