comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective Operation and Business
provided in the Office?s electronic work system to all shareholders of business within the period specified in the notification. However, a copy of such opinion were later delivered to all shareholders of
a notification system when the transactions occurred with 5,000 wallet addresses on 1000x.live leading to the completion of the system for operating the business on 1000x.live. Accordingly, 1000X and
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 Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
Supervisory Board) by determining such PP’ offer price more than three business days prior to the first offering date and failing to disclose the PP information prior to such offering via the Stock Exchange of
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for arranging and keeping
performance to prove that the fund manager’s responsibilities for overseeing and managing the fund as required, This is not in accordance with the work system that notifies the office before requesting to start
Miss Phichaveer Puatunyawong in the compliance unit to the SEC Office through a system prepared on the website of the SEC Office within 7 business days as from the occurrence of such circumstance