investment decisions and engage in active ongoing monitoring of investee companies. 4. Apply enhanced monitoring of and engagement with the investee companies if monitoring pursuant to (3) is considered

Mr. Sunthorn Chaononghin On February 22, 2010, Mr. Sunthorn Chaononghin, an engineer of Solartron Public Company Limited (SOLAR), illegally purchased SOLAR shares in such a way as to take advantage

such a way as to take advantage of other persons by using adverse material non-public information concerning LVT net loss in Q1/2010 of 37.65 million baht which was significantly different from LVT net

trading account of Another person in such a way as to take advantage of other persons by using positive material non- public information concerning RPC investment inSammakorn Public Company Limited (SAMCO

accounts in such a way as to take advantage of other persons by using material non-public information concerning the business operation of CMO for Q 2/2012 that he obtained by virtue of his positions before

nominee account, in such a way as to take advantage of other persons by using material non-public information concerning the interim dividend payment 2012 and warrants to purchase CMO ordinary shares to be

constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board. That is, the securities broker failed to Inefficient

just voting. Activities may include monitoring and engaging with companies on matters such as strategy, performance, risk, capital structure, and corporate governance, including culture and remuneration

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to

operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring