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
PFS International Consultants Co., Ltd. PFS International Consultants Co., Ltd. (“PFS”), represented by company director Mr. Mark Edward Kirkham, colluded with other alleged offenders in soliciting
systems of work related to the program trading in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.113
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
perform work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. DAB Act S.30 Settlement Committee Meeting No. 4/2023
for assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.30 Settlement
provided in the Office?s electronic work system to all shareholders of business within the period specified in the notification. However, a copy of such opinion were later delivered to all shareholders of
work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. DAB Act S.94 Settlement Committee Meeting No. 4/2023
assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.94 Settlement Committee Meeting