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

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, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide a structure for managing, the work system including

, conditions and procedures stipulated in the relevant notification. In this regard, Bitkub did not provide customers with cryptocurrency training or cryptocurrency knowledge tests before providing services to

digital assets to be offered for trading, including the delisting of digital assets. Moreover, Zipmex failed to perform its duties with due care as the professional should exercise in accordance with

failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Bitkub did not provide customers with cryptocurrency training or cryptocurrency knowledge

Mr. Sittichai Leeswatrakul Mr. Sittichai Leeswatrakul, who acted together or was acting in concert with Miss Tanika Tangpoonphonvivat by having an agreement to exercise their voting rights in the

Miss Tanika Tangpoonphonvivat Miss Tanika Tangpoonphonvivat, who acted together or was acting in concert with Mr. Sittichai Leeswatrakul by having an agreement to exercise their voting rights in the

from DAOLS’ failure to exercise due care and diligence in protecting the interests of the bondholders, including failing to verify existing encumbrances on the condominium units serving as collateral

Police (ECD Police) for not allowing some NMG shareholders to attend and exercise their voting rights at the annual general shareholders’ meeting (AGM). Nittimon chaired the AGM on April 29, 2015, did not