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
Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as
the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
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
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
) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management; (2) “derivatives business license type Sor-2” means a license to undertake derivatives business
) securities business license type D (ง); (5) securities business license in the category of investment advisory service; (6) securities business license in the category of securities borrowing and lending
” means a license to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management
. Clause 7 If critical functions are outsourced to service providers, intermediaries shall arrange business continuity plan to covers events of disruption of service providers except where intermediaries