) back office supporting system which comprises of the following: (a) personnel or units responsible for supporting of the establishment and management of the fund in all aspects. There shall be orderly
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
back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core
provider of back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core
future. The new preventive measures will also come with traceability, enhancing the ability to trace back the route of the product. At the current stage, the Company is working on process improvement
เพื่อประโยชน์ในการรักษาฐานลูกค้า (retaining fee) มาหักเป็นค่าธรรมเนียมการขายและรับซื้อคืนหน่วยลงทุน (front/back-end fee) ที่ได้จ่ายให้กับตัวแทนขายได้หรือไม่ คำตอบ :
the Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Details of the Declaration of Intent (Thai version only) are available at https://www.sec.or.th
specified in the notification of the Office. In the delegation of management under the first paragraph, the appointment of a marketing agent under the second paragraph and the operation of the back office
operation of the back office, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in