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

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

including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic

sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives

structure, operating systems, and personnel for conducting business in accordance with the rules, procedures, and conditions prescribed by the Securities and Exchange Commission. DAB Act S.30 Settlement

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

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 in

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