Principal Valuer Grand Total /3 In 2020, there were 2 investment consultants imposed administrative sanction as Investment Consultant and Director & Executive. /2 Excluding the cases where the SEC Office

PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law

this Notification: (1) “administrative proceedings” means proceedings related to consideration on administrative sanction; (2) “administrative sanction” means administrative sanction specified under law

PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to

violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action

. Japan 8. Korea, South: Republic of Korea 9. Principality of Liechtenstein 10. Luxembourg: Grand Duchy of Luxembourg 11. Malaysia 12. New Zealand 13. Singapore: Republic of Singapore 14. United Kingdom

PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished

* 0 4 200,000.00 - 90,191.00 - - Grand Total 7 22 97,120,726.19 6,467,807.96 846,120.85 3 22 Cases Persons Civil Monetary Penalty A compensation at an equal amount to the benefit received A

China, following the boat accident in Phuket, and Russia, following the sanction imposed by the US, and last but not least, 4.) other supporting factors, namely public investments driven by state-owned

hundred thousand baht, or both. SECTION 299/2 Any person who contravenes or fails to comply with the court’s judgment or order which specifies a sanction in accordance with Section 297/1 (2) or (3) or