investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause
intermediary or the SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
) shall be returned to the client . In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall
take necessary actions for its clients to obtain the rights and benefits arising from any securities or instruments owned by the clients which are under its custody from the issuers of such securities or
must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate information on the private fund management. Furthermore, any
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
ใช้บริการ · ลักษณะการให้บริการ · กลุ่มลูกค้าเป้าหมาย · ระบบงานหลักที่นำมาใช้ front office / back office · ความสามารถในการรองรับลูกค้า (เช่น ปริมาณลูกค้า จำนวนธุรกรรมที่ระบบสามารถรองรับได้) และแนวทาง
in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management
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