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

derivatives broker is for client's benefit. In the case where the derivatives broker deposits or invests in assets under Paragraph 1(1) or (4) but later the credit rating is changed, if the derivatives broker

report of net liquid capital calculation, and for each time that such contract is changed; (4) keep every daily report of net liquid capital calculation and evidences using for calculating such particulars

without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be

the material facts of any data stated in this form or the form of curriculum vitae certification (form 104-2/Or Por 24-2) have been changed, the company shall inform the Office within seven days from

person appointed by the management company to act as a mutual fund manager and it appears later that the information specified in Form 117-6 has changed, the management company shall prepare and submit a

or invests in assets under Paragraph 1(1) (a) 1. or 4. but later the credit rating is changed, if the company is unable to comply with terms specified in clause 18/2, the company shall proceed and

, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1