service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the

deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods pursuant to (b). (4) deposit agreements, contracts for the procurement of funds, credit facility contracts or

sensitive information or the organization’s critical information systems, but excluding the clients; “ information processing facility ” means any equipment, operating systems, or infrastructure that are

การปฏิบัติงานโดยมีการเข้าถึงข้อมูลลับหรือ ระบบงานสำคัญภายในองค์กรโดยไม่รวมถึงลูกค้า “สิ่งอำนวยความสะดวกในการประมวลผลข้อมูล (information processing facility)” หมายถึง อุปกรณ์ ระบบงาน หรือสภาพแวดล้อม ที่

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

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

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.

and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities

of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a