and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
Mr. Ratchasak Susewi Between 2004 and 2005, Mr. Ratchasak Susewi, former Chairman and Chief Executive Officer of POWER-P Plc. (POWER), conspired with Mr. Phongsak Khongpanyakul, former Deputy
energy business incurred a gross loss because the company sold rooftop solar power to tenants of building space within the Wincoast Industrial Park as Page 3 of 4 only one project, capacity 0.75 megawatts
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm