. Principle 6: Encourage asset managers to act collectively with other investors and stakeholders as appropriate. Principle 7: Regularly disclose the Fund’s Investment Governance Policy and implementation

insufficient. 5. Have a clear policy on exercising voting rights and disclosure of voting results. 6. Act collectively with other investors and stakeholders as appropriate. 7. Regularly disclose the Investment

review and rectify its financial statements for the second and third quarters of 2012. TUCC is required to submit to the SEC and to publicly disclose the rectified financial statements that are reviewed by

statements for the second and third quarters of 2012 and then submit to the SEC and publicly disclose the rectified and reviewed financial statements by March 8, 2013. This was because the SEC found that the

proposing criteria on information disclosure and risk warnings on such issues to ensure consistency and proper conduct by DA operators.  The essences are as follows: (1) DA operators must disclose the risks

event in Thailand and Idol EXPO#2, the event that gathered most famous Thai idol. The Company was overwhelmingly supported by all brand partners who attended the event, resulting in a total of over 2. 5

offering1. In this regard, the Company shall disclose the following information: (1) Spending of the money obtained from each offering of equity or debt securities2. Spending Objectives Amount of Spent Money

whether or not the Company has already spent the raised fund to serve the objectives declared in the registration statement for securities offering 1. In this regard, the Company shall disclose the

activities of CRAs. In order to promote transparency and improve the ability of market participants and others to judge whether a CRA has satisfactorily implemented the IOSCO CRA Code, CRAs should disclose how

false statement/ Dissenimation of false or misleading information 0 0 - - 0 0 1 1 Market manipulation 0 0 4 68 0 0 1 14 Insider trading / Disclose inside information 0 0 1 3 0 0 - - Takeover - - - - 1 1