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

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

a professional. Clause 8 The policy for outsourcing operational function to a service provider under Clause 7(1) shall specify details and comply with the following rules: (1) scope and nature of the

control and proper operation of the business. Division 3 Compulsory Conditions Clause 14 An intermediary shall notify the details on the scope of function outsourced to a service provider under Clause 10 to

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

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

details for implementation by the personnel or person assigned to operate the business; (2) Information, including the roles and responsibilities, of the personnel in charge of operations in the event of

The details of the Guidelines under the first paragraph of Clause 1 are described in the Appendix attached hereto, which contains the following matters: (1) Chapter 1: Governance of Enterprise IT (2

Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for

, management company shall specify such details in the private fund agreement. Clause 18. Affiliated Transaction for mutual fund as the following cases, mutual fund management company shall provide monthly