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

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

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

transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board which is within September 30, 2021. However, the financial statements for the six-month

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