market personnel for ease-of-use; for example, qualifications, approval process, and duties of the capital market personnel. The draft rules also include a wealth advisor as a new type of capital market

intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and

draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients

Zipmex’s customers that were deposited to earn returns in Thailand in a way that Zipmex, without doubt, could not segregate digital assets of the customers and may use such digital assets for any other

PLC (CWT) by allowing the use of his trading account. On March 14, 2011, the Criminal Court sentenced the accused to pay a fine of Baht 600,000 for violating Sections 243(1), (2), 244(2), (3) and 296 of

’ securities trading accounts by allowing others to use his trading account. the special case inquiry official dismissed the case because the statute of limitations ran out. SEC Act S.243(1) in conjunction

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

Mr. Mark Edward Kirkham Mr. Mark Edward Kirkham colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and

Mr. Andrew Wood Mr. Andrew Wood colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of PFS to

Mr. Harpreet Sajjan Mr. Harpreet Sajjan colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of