business affected to the third person, namely net balance account of creditor of trading of securities by cash client, encumbrance for deliver the securities result in short selling or securities borrowing
natural person who ultimately owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately
in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in relation to the customer’s account or
owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in
in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
capital market products (if any). Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to Clause 30 of the
working capital to continue the business in the future. The Company has also no debt from loans. The Company still has a consistent assessment of financial impact on the value of assets and contingent
experience in the field of function to be operated for the intermediary . In this regard, the counting of such experience may continuously extend from the experience in other businesses if the juristic person
2017 (effective on 1 September 2017). 6 (6) a juristic person other than those persons under sub clauses (1), (2), (3),(4) or (5) which has at least 5-year experience in the field of function to be