compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement

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

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of

, failed to 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 compliance system

causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties

for IEC’s failure to prepare and submit an accurate annual report for the year (From 56-2) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory

for IEC’s failure to prepare and submit an accurate annual update information statement (“Form 56-1) for the year 2018 in compliance with the rules specified in the notification of the Capital Market

considered and validated KUB to be traded in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S

Chewathai Public Company Limited Chewathai Public Company Limited (“CHEWA”) had duty to prepare and submit the key financial ratio for year 2022 in compliance with the Notification of the Capital

submit the key financial ratio for year 2022 in compliance with the Notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly