REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions

Gap 8 g Investor Return Gap = Asset Weighted Investor Return – Average Total Return /Study on U.S. domiciled funds Source: Morningstar Direct Mind the Gap 9 gRecent study in 2014 /Surprise! The Investor

Negative Proportion of listed companies with positive / negative earning surprise Source: Bloomberg, data as of May 2024 More than half of all listed companies reported their net profits higher than analysts

Consumer Staples Energy Positive Inline Negative สัดส่วนจ านวนบริษัทจดทะเบียนที่ม ีearning surprise ทางบวก/ลบ Source: Bloomberg, data as of May 2024 นอกจากนี้บริษัทจดทะเบียนเกินครึ่งรายงานก าไรสุทธิสูงกว่า

Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be

surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement

sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case

-19 outbreak in many counties has not been resolved. Such current situation may have a negative impact on Thai listed companies that have core business in COVID-19 affected countries, or it might

assets, including government or corporate bonds and deposits. The asset management companies might offer investors certain options on terms and payout periods or allowed them to customize their own