encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced
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
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.
each category of the level of secret, both direct access and indirect access, including the destroy method for information in each category of the level of secret. [M] · Transmission of importance
analyze securities investment; “investment advice” means any direct or indirect advice made related to the value of securities or appropriate of investment in such securities or any other securities
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
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service