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

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

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

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

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

1. เอกสารแนบ เรื่อง การให้บริการออกแบบการลงทุน (wealth advice) (นจ.(ว)9/2561)

securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered

Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service