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
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
. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
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.
to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies
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
Total Income 2. Expenses 2.1 Expenses on Borrowing 2.2 Fee and Service Expenses 2.3 Bad debt and doubtful accounts 2.4 Shares of loss of subsidiaries and affiliated 2.5 Operating expenses 2.5.1 Personnel