institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid products, and structured notes.
, investment units of mutual funds investing in derivatives, hybrid products, and structured notes.
net worth investors, investment units of mutual funds investing in derivatives, hybrid instruments, structured notes and derivatives.
”, “registration statement”, “bill”, “short-term bill”, “high net worth investor”, “institutional investor”, “short-term bond” and “structured note” shall have the same definition given to them under the
registration as a qualified fund supervisor, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws
, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws relating to financial businesses
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from client’s assets; □ (3.6) System to
such legal entity to relevant personnel to cooperate with the SEC Office; (h) records on administrative sanction of the wrongdoer which, in case where the wrongdoer is a legal entity, shall include