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
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
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
the derivatives brokerage service under Paragraph 1, the derivatives broker shall provide all counterparties of derivatives contract being institutional investors . Clause 5 The provisions in Clause 21
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
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
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
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
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.