; whereas Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 specifies the duty of the Securities and Exchange Commission as the Capital Market Supervisory Board, the SEC hence sets out the

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

such registration shall submit the application to the Office as per form 121-1, as attached to this Notification, and related documents together with two sets of copies of the application and related

another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or affiliates, they may be presented in business groups; - In case

as to apply appropriate rules and regulations to the specific nature of such funds or groups of customers as guaranteed funds, foreign investment funds, customers who are provident funds, government

in general comparison with competitors (numerical data not required)), customers’ characteristics, target groups, sales and distribution channels. In case of export, specify the domestic/export sales

business groups); (3) In case of a holding company, the size of the company operating the core business and that of others shall be specified in comparison with the Company’s size under relevant regulations

client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the

, although both clients [or both groups of clients ] are classified in the same category which have to be treated equally; (5) [i] providing inappropriate service of each type or category of businesses which