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

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

Mr. Preecha Kraikruan During 31 March 2020 – 8 May 2020, Mr. Preecha Kraikruan colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA

Mr. Sarayuth Kong-um During 31 March 2020 – 8 May 2020, Mr. Sarayuth Kong-um colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA) by

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

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

Mr. Pongchen Reanchaiwanid During 31 March 2020 – 8 May 2020, Mr. Pongchen Reanchaiwanid colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities

Miss Areeporn Kaewklom During 31 March 2020 – 8 May 2020, Miss Areeporn Kaewklom colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA

Mr. Worrawit Khounwilai During 31 March 2020 – 8 May 2020, Mr. Worrawit Khounwilai colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities

Miss Sophit Phukphat During 31 March 2020 – 8 May 2020, Miss Sophit Phukphat colluded with 5 persons to manipulate the price or volume of Eureka Design Public Company Limited’s securities (UREKA) by