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
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
management under paragraph one hereof, or in the back office operation, the management company shall carefully consider selecting such persons suitable for the tasks to be designated, and shall also ensure
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing
conditions. "mutual fund management" means the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds therefrom to invest
perform duty as director, manager or person with power of management or advisor of another securities company, which is in support of financial conglomerate of securities businesses, bringing about
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting
. ในกรณีที่บริษัทหลักทรัพย์ออกตราสารทางการเงินสกุลบาท (structured note) อ้างอิงตัวแปรต่างประเทศขายแก่บุคคลทั่วไป หากบริษัทหลักทรัพย์ต้องการบริหารความเสี่ยงโดย back-to-back กับต่างประเทศโดยการซื้อหลัก