ชื่อผู้ได้มา/จำหน่าย :?NUCLEAR DAMAGE LIABILITY FACILITATION FUND | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 31/07/2555

rules across all types of personnel and compile existing rules into a single notification for ease-of-use. The compilation of rules into single notification elaborates all related guidelines of capital

allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for

liability arises from his failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in IHL’s delayed submission of the report. SEC Act S.300 in

clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10

intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10) communications with

a client and another client; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your clients An intermediary shall compile [i

condition under the agreements. THL, therefore, did not record the compensation for the difference of gold prices as expenses and liability in the financial statements.The SEC opines that the foreign bank?s

Supervisory Board. This liability arises from her failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in JCT’s delayed submission of the report

personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage