Report on Assets of Customers (Synopsis) 16. Circular 24/2547 14/05/2004 17. Circular 7/2544 22/01/2001 18. Circular 16/2543 12/07/2000 19. Circular 2/2543 08/02/2000 20
16. Report/Form (Notification of Securities and Exchange Commission) Form for Reference of Documents for Approval (marketing officer) 17. Circular 4/2547 20/02/2004 18. Circular 2/2555 22
12. Circular 12/2553 24/05/2010 13. Circular 23/2552 06/08/2009 14. Circular 2/2549 06/02/2006 15. Circular 8/2548 28/02/2005 16. Circular 3/2547 27/01/2004 Contact The
Establishment and Management of the Asset Management Company 9. Circular 1/2552 08/01/2009 10. Circular 37/2551 14/07/2008 11. Circular 4/2550 29/01/2007 12. Circular 20/2549 19/12/2006
of the Office of the Securities and Exchange Commission 40/2546 18/12/2003 01/01/2004 9. Circular 33/2543 21/12/2000 10. Circular 1000/2536 10/11/1993 11. Circular 26/2553 24/08
) a purchase or sale according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) a purchase for its own proprietary portfolio
guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) a purchase for its own proprietary portfolio resulted from an error in making trading orders for clients; (4) a