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

Chart Master Co., Ltd Chart Master Co., Ltd. by Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., had convinced and solicited the public to invest in derivative contracts. Such

Mr. Thiti Tarasuk Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., had convinced and solicited the public to invest in derivative contracts. Such solicitation was made via

Mr. Narathip Lohawaroj Mr. Narathip Lohaweroj, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., convinced

Mr. Torpong Thammasombut Mr. Torpong Thammasombat, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd

Mrs. Sakonwan Paruang Miss Skonwan Paruang had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., who had convinced and solicited the public to invest in