structure, operating system, and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.30 Settlement Committee Meeting No. 4/2023 Settlement Committee Order No. 1/2023

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

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

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

UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and

Bitkub Online Company Limited During January 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, reported the incidents of system disruption to the SEC office later

Samart Corporation Public Company Limited Samart Corporation Public Company Limited (“SAMART”), a securities issuer, failed to prepare and submit the key financial ratio report for the year 2021

Phi Phi Holiday Company Limited Phi Phi Holiday Company Limited, a securities issuer, failed to prepare and submit the audited financial statements for the year 2020 through the transmission system

Phi Phi Holiday Company Limited Phi Phi Holiday Company Limited, a securities issuer, failed to prepare and submit the key financial ratio report for the year 2020 through the transmission system of

Phi Phi Holiday Company Limited Phi Phi Holiday Company Limited, a securities issuer, failed to prepare and submit the financial statements for the six-month periods ended 30 June 2021 through the