/Nor/Khor. 85/2552 Re: Prohibited Characteristics of Personnel in Derivatives Business dated 3 August 2009. Clause 2 In this Notification: (1) “person with power of management” shall have the same

business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as  a professional would exercise in like circumstances; (2) operates

Professional Waste Technology (1999) Public company Limited Professional Waste Technology (1999) Public company Limited (PRO), a listed company which is posted SP and NC signs by the Stock Exchange

Professional Waste Technology (1999) Public Company Limited Professional Waste Technology (1999) Public Company Limited failed to prepare and submit the annual registration statement for the year

Thai Technician Professional Company Limited's offering foe sale newly issued securities in the category of convertible debentures without approval from the SEC Office which is breach of The

entrusting the company to manage their private funds with due care and professional standards, consequently liable to be a violation of Section Paragraph 2 and 3 of Section 134, in conjunction with Paragraph 1

care to preserve the interests of the person who has authorized the management of the private fund, using knowledge and competence as a professional. He was then considered failing to comply with the

in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to

; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of

following characteristics: 1. Being a professional in asset appraisal whose work is widely recognized in the jurisdiction wherein such asset is located; 2. Being a person whose work standard and asset