financial statements for the year 2020 to the SEC Office, which is audited by a certified public accountant who does not obtained an approval from the SEC Office. Later, the rectified audited financial

controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares, Mr. Narin Usanawarong certified the completion and accuracy of the information provided in Form 247-4. SEC Act S.300

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

Zipmex Company Limited Zipmex disseminated or certified statements that were materially misleading in regarding the trading price of digital assets, in such manner that is likely to have an impact on

that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares, Mr. Sakchai Thanaboonchai certified the completion and accuracy of the

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

order or act duty resulting in Zipmex disseminated or certified statements that were materially misleading in regarding the trading price of digital assets, in such manner that is likely to have an impact