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
(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E
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.
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
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
undertake trust business under the following rules and conditions: Clause 1. In this Notification: “Securities company” means a company which obtains a license under the law on securities and exchange to
under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short
บทนำ 2 9 เอกสารรับฟังความคิดเห็น เรื่อง หลักเกณฑ์การออกและเสนอขาย หน่วยทรัสต์เพื่อการลงทุนในโครงสร้างพื้นฐานต่างประเทศ (Infrastructure Trust ต่างประเทศ) สำนักงานคณะกรรมการกำกับหลักทรัพย์และ