._____________________________* Pursuant to SECTION 89/25, in auditing a securities company or a company in accordance with the auditing standards, either as the appointed auditor of such juristic person or as a person allowed
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
Mr. Eric Jordan or Mr. Eric Jack Jordan Mr. Eric Jordan or Mr. Eric Jack Jordan as director of Professional Portfolio International Ltd. (PPI) and personal capacity colluded with other alleged
Professional Waste Technology (1999) Public Company Limited Professional Waste Technology (1999) Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q1/2014
operations of Dao Securities (Thailand) Public Company Limited (“DAOLS”), was required to ensure that DAOLS performed its duties with the level of care and diligence expected of a professional in safeguarding
adhering to ethics and professional standards issued by the association and approved by the Office, mutatis mutandis, only the part of investment management. Clause 14. In cases where the person listed in
securities and exchange laws, applicable rules and regulations and ethics and professional standards within two years prior to the application date. Clause 9. Any person to be approved to be listed in the
Securities and Exchange Commission hereby issues the following regulations: Clause 1 . In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business