company shall also comply as follows: (1) distributing an investment advisory service handbook which is prepared in accordance with Clause 16 to the customer prior to giving the first advice, however, there
offering” or “best efforts”). If the underwriter has a material relationship with the issuer, disclose the nature and terms of that relationship. 5. If other parties are involved in distributing the debt
more of the following methods: (a) assigning an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b
disclose information to clients in accordance with the following criteria: (1) disclose information on risks and characteristics of the bonds by one or more of the following methods: (a) assigning an
investment, financial position and customer’s acceptable level of the risk. Clause 15. In giving a specific advice, the investment advisory company shall also comply as follows: (1) distributing an investment
since 1973 under the name O’Leary Covermark Center Company Limited for being the beauty service center and distributing the cosmetics of O’Leary Covermark. Later on the Company has expanded distributed
distributing credit ratings and reports, and for when a credit rating will be withdrawn. 3.6 A CRA should disclose clear definitions of the meaning of each category in its rating scales, including the definition
(1999) 2 Law on Anti-Money laundering means the Anti-Money Laundering Act B.E. 2542 (1999) 14 (3) there is or was [I] a demeanor of [i] disclosing or distributing information or document which is false
issuing certificate of entitlement shall contain at least the following matters: (1) the trustee has the duty to provide the register of units either by the trustee itself or by assigning other persons to
following contents; (1) the trustee is responsible for the making of the register of the units whereby the trustee may make one itself or assigning others to do so under the Notification on Trust Settlor and