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

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

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