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

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and

website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid

warning, but such warning was not appropriate to the media type i.e. video clip and the location where it was run. DAB Act S.30 Settlement Committee Meeting No. 12/2022 Settlement Committee Order No. 21

and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment

knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC

appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick

Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel