Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
Notification of the Securities and Exchange Commission concerning Application for Support System Provider Offering Service Related to Investment Unit Trading and Fund Management. Clause 3 This Notification shall
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
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
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.
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
) 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
กรณีบริษัทจัดการกองทุนรวมและบริษัทจัดการกองทุนส่วนบุคคลที่มิได้ประกอบธุรกิจอื่น (Pure Private Fund) กำหนดห้ามมิให้มีการลงทุนในลักษณะ short term speculation (แก้ไขจากหลักการตามที่ประชุม focus group ก่อน