TISCO ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 27/12/2001 - 27/12/2001

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

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

services.This is an additional requirement, aside from the Know Your Client (KYC) process, to be imposed on non-residents so that the UBOs will be acknowledged. In the meantime, local custodians of bonds

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