Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
the days of the significant errors in the valuation (at least one satang and worth at least 0.5% of the correct value or price); (2) Take any actions to ensure that the investors are informed the
sufficient information for investors to make an informed investment decision. Existing shareholders affected by dilution – the company must disclose clear and sufficient information in the notice calling
unitholders are informed of the access to such information channels via an email/SMS/ link to the website. Closed-end Funds Open-end Funds An annual report shall be distributed within 3 months from the
printed/ CD; (2) Publicized on the mutual fund management company's website, provided that the unitholders are informed of the access to such information channels via an email/SMS/ link to the website
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
Clients. Princ iple 3: Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies. Principle 4: Apply Enhanced Monitoring of and Engagement with the Investee