surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement

Thaicredit Retail Bank Public Company Limited On 1 March, 2017 Thaicredit Retail Bank Public Company Limited (“TCR”) offer for sale newly issued securities in the category of warrant (Employee Stock

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market

systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30

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

including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal

sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with

newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement

, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market

markets business to submit trading order and not an employee of Jitta Wealth Asset Mannagement Co.,Ltd, there may be a risk that person who are not under the company know about the information and use it