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
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
notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operators.
the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.
providing securities underwriting service or services limited as online branch office, or in case of the online branch office, the securities company shall extend its office hours to not early than 7.00 A.M
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
accounts and finances of clients, the operator shall be affiliated company or auditing firm; (7) client registration; (8) back office operation after trading of securities or derivatives; (9) back office
intends to extend the due date by rolling over or extend the period of the deposit, such asset may be classified as a long-term deposit at a financial institution or an investment (as the case may be
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives
that are associated with securities borrowing and lending business complied with this Notification and to extend period of time in maintaining information and documents that are related to the custody of