of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a
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
securities brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “ agent ” means a person who is appointed by a securities
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
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
) 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
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.