นาย พิสิทธิ์ ปทุมบาล ผู้บริหาร และผู้แนะนำการลงทุนด้านหลักทรัพย์ เป็นผู้ควบคุมงานด้าน front office พบว่ามีการละเลยการตรวจสอบดูแลและสั่งการให้มีการดำเนินการใด ๆ เพื่อแก้ไขและปฏิบัติให้ถูกต้อง ทั้งที่
financial statements for the year 2013 and the annual registration statement for the year 2013 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification
3. Mr. Steven or Steve Entwistle.- Mr. Steven or Steve Entwistle.- as Managing Director, the representative office solicited the foreign investors to make investments according to Gilt Edge’s advice
several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services
advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse
make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of
PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range
to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse range of
Office. This case is in the process of civil sanctions. SEC Act S.241 Criminal Complaint Filed with an Inquiry Official Dated 16/03/2016