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.
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
derivatives and publicly announced those analysis. (7) “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s
encumbrance of others to the borrower, and the borrower has to pledge asset as collateral to the lender in order to guarantee the borrower’s performance of obligation. Additionally, the lender has to return the
; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this
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
Capital dated 5 June 2014 shall be repealed.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