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
intermediary shall provide the service as the client ’s demand and shall conform to the following standards: (1) provide service to the client as soon as possible and review for ensuring that the service meets
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
, and the non–audit service fee received or accepted from each client thereof (on the accrual basis) for the year ending (the last day of the pervious accounting period
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.
[i] a juristic person established under foreign law which offers service as the exchange or over-the-counter center under the law of such country and [ii] is regulated by the government or securities
service, an intermediary shall provide the service as the client ’s demand and shall conform to the following standards: (1) provide service to the client as soon as possible and review for ensuring that
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the