Professional Portfolio International Ltd. Professional Portfolio International Ltd. (PPI) colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory
person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal
Daol Securities (Thailand) Public Company Limited Between September 7, 2018 and May 9, 2022 Daol Securities (Thailand) Public Company Limited, a private fund management company, failed to comply with
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective exhaustively comprehensive risk management
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
foreign investors to make investments according to Gilt Edge’s advice and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and
investors to make investments according to Gilt Edge’s advice and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced
and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well
safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by
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 Q4/2013