Bualuang Securities Public Company Limited Between 1 September 2022 and 15 September 2024, Bualuang Securities Public Company Limited (“Bualuang Securities”) maintained an internal investment

interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s rules governing trading by executives and employees. SEC Act S.283 Settlement Committee

manager, failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems and processes for

procedures as specified in the notification. In this regard, Bitazza failed to provide appropriate internal systems and processes for preparing, approving, and supervising advertisements. In particular

and January 20, 2025, Merkle failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems

– September 3, 2025 Bitazza failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza failed to provide appropriate internal systems and processes for

World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such

(“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading

Company Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading

Limited’s (“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or