perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the
ชื่อผู้ได้มา/จำหน่าย :?NUCLEAR DAMAGE LIABILITY FACILITATION FUND | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 31/07/2555
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
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
THL’s failure to prepare and submit the annual financial statements for the year 2021 within the period specified by the Capital Market Supervisory Board. This liability arises from his failure to issue
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
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
THL’s failure to prepare and submit the Management’s Discussion and Analysis (MD&A) for the year 2021 within the period specified by the Capital Market Supervisory Board. This liability arises from