shareholding of the same group: (a) Top 10 highest shareholders; (b) The majority shareholders whose behaviors materially influence management policy-making or the Company's operation (for example, assigning a

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

policy-making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the true shareholders, for example, those

shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable

having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100

perform duties under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall

under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall meet the

business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any

procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating securities to each

fair allocation procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating