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

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support

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

equivalent instruments which related person is a financial institution and being an issuer or counterparty for the benefit to manage liquidity of fund; (2) Transaction in organized market via related person

and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall determine a measure for selection and