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

Thaicredit Retail Bank Public Company Limited Thaicredit Retail Bank Public Company Limited (“TCR”) failed to prepare and submit the report on the results of the Exercise of warrant to the SEC

due diligence and care in the same manner as a professional would exercise in like circumstance and with regard to customer’s best interest. SEC Act S.133 Settlement Committee Meeting No. 11/2022

prepare and submit the report on the results of the Exercise of warrant to the SEC office within the period specified in the notification of the SEC resulted from the instruction or the failure to give

, and Mr. Phonlasit Phumiwasana by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the acquisition of Solution

Piyavechvirat, and Mr. Phonlasit Phumiwasana by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the acquisition of

Vongchinsri, and Mr. Phonlasit Phumiwasana by having an agreement to exercise their voting rights in the same direction, or an agreement to jointly manage a business, failed to report the acquisition of