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

(SSI) via internet trading system to resulting in trading such share which was not consistent with normal market in order to lure general public to trade such share. SEC Act S.243(2) Settlement

Mr.Chatchai Dhammarungruang Between July 7,2016 and August 3, 2016, Chatchai, former director of Modernform Group Plc. had used trading account of his daughter to sell a total of 1.3 million share of

total of 1.3 million share of the common stock of Modern, while in possession of inside information on Modern's operating results of the Q2/2016 before Modern publicly disclosed the Q2/2016 financial

November 2nd, 2021, while he knew or possessed inside information concerning a share purchase deal that SCB Securities Company Limited intended to purchase 51% of the total shares of Bitkub Online Company

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

through the transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board which is within February 28, 2022. However, the key financial ratio