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
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 the securities company may
, excluding the branch office of [an intermediary which is] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives
approval terminated prior to the expiration of the approval term under the events set out in the Notification of the Office of the Securities and Exchange Commission concerning approval for investor contacts
approval under 1 and 2 above may have their approval terminated prior to the expiration of the approval term under the events set out in the Notification of the Office of the Securities and Exchange
management company shall submit to the Office an application as per Form 117-6 attached to this Notification together with related documents. In the event that after the Office has granted an approval for such
business operation or the customers of such business. (Translation) - 5 - Clause 5. In applying for an approval to act as a mutual fund manager, the management company shall submit to the Office an
fund management; “Office” means the Office of the Securities and Exchange Commission. Clause 2. Any commercial bank under the laws governing commercial banks, finance company under the laws governing the
perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Office