matters: (1) the intermediary is entitled to direct or specify guidelines for the service provider in matters related to the outsourced function; (2) the intermediary is entitled to inspect the operation of

registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business

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

encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced

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

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

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.

each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

each category of the level of secret, both direct access and indirect access, including the destroy method for information in each category of the level of secret. [M] · Transmission of importance