foreign service provider ] intermediaries shall outsource the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider
group in the following matters. 2.1 Characteristics of products or services Describe the characteristics of each product or service to give investors an understanding of the Company's nature of business
innovation. Describe the characteristics of each product or service to give investors an understanding of the Company's nature of business during the preceding year including the factors conducive to business
services to the client , as specified in details in Chapter 5; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified
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.
description may be provided under the Nature of Business Operation Section). 2.2.1 Characteristics of products or services Describe the characteristics of each product or service to give investors an
delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of