in such a way that the screening and selection of a service provider would be done without any ground to believe that its financial position may cause damage or having any circumstance that indicates
Office. Such permission shall only be granted on the ground that the branch office is not in a state to provide services by itself or such delegation will ensure more efficient service providing. Clause 8
service provider shall not have any characteristic which may cause any ground to believe that there is a defect or inappropriateness in control and proper operation of business. Clause 19 An intermediary
) 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
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
derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other service providers relating to derivatives as specified in the notification of the SEC
” 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
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
shall be deemed that such demeanors are prohibited characteristics in Group 3: (1) having a reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to