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

mechanism or measure which render the securities underwriter to perform duties independently: (1) in case the securities underwriter, or parent company or subsidiary company of the underwriter is the sponsor

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

Office uses to increase or decrease the weight in considering the facts in general: (a) the involvement of a person in the prohibited characteristics such as being a principal, an user or a supporter, etc

fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company