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, Underwriting and Allocation of Newly Issued Securities; (b) in the part relating to underwriter means “ connected person ” in accordance with the Notification of the Securities and Exchange Commission concerning

request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for

office of the securities underwriter for the period of at least one year from the offering closing date in such a manner that can be promptly presented to the SEC Office upon request. The fair allocation

mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed

by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and

provident fund for all transaction including the detailed calculation of the money payable to the fund, unit allocation and value per unit should be made upon request of each member for examination of the

transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for