and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market

including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic

sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives

structure, operating systems, and personnel for conducting business in accordance with the rules, procedures, and conditions prescribed by the Securities and Exchange Commission. DAB Act S.30 Settlement

was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the

transactions in the wallet. In this regard, although he was notified by the competent officer to comply with such orders, he delivered only partial or incomplete information. In addition, he delayed the delivery

asset exchange and a digital asset broker, did not provide management structure, operating system and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.94 in

appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick

Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel

Wongsiridej, and banned him from functioning as capital market personnel for 5 years. SEC Act (the fifth amendment) Section 241 Civil Action Dated 19/05/2017