Asphere Innovations Public Company Limited Asphere Innovations Public Company Limited (“AS”) offered newly issued securities to directors or employees which is not in compliance with rules

rules governing trading by executives and employees. SEC Act S.113 Settlement Committee Meeting No. 10/2025 Settlement Committee Order No. 145/2025 Dated 15/12/2025

liable for AS’s failure to offer newly issued securities to directors or employees which is in compliance with rules, conditions and procedures as specified in the notification of the Capital Market

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

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

Mr. Nantawat Sumraunhant Mr. Nantawat Samruanhant, the auditor of Stark Corporation Public Company Limited ("STARK"), failed to comply with auditing standards in relation to audit work

work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. DAB Act S.94 in conjunction with 30 Settlement Committee

assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.94 in conjunction with 30

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