licensed to undertake securities business in the category of underwriting, including any selling agent; (6) “ patron ’ means a person who patronises the issuer, for instance, clients, suppliers, employees of
exclude persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups, that are
shall not include persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups
numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be
investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of
characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary