-high Net Worth Investor and High Net Worth Investor 08/02/2017 16/02/2017 3. Notification of the Securities and Exchange Commission KorThor. 18/2554 Principles for Undertaking Securities and
Securities and Exchange Act 2535 116 12/03/1992 16/05/1992 2. Notification of the Securities and Exchange Commission KorThor. 18/2554 Principles for Undertaking Securities and Derivatives Businesses
; and b) Engaged in audit regulatory functions in the public interest, and, in particular: - Ultimately responsible for the system of recurring inspection of audit firms undertaking audits of public
apply to any undertaking with respect to the following matters, mutatis mutandis. (1) application for approval, granting approval, and conditions in granting approval of trust managers; (2) cessation of
, including undertake the securities lending for completion of securities sales under the rules prescribed by Notification of the Office. Clause 5. Prior to undertaking a short sale of securities for itself, a
call for collateral, including undertake the securities lending for completion of securities sales under the rules prescribed by Notification of the Office. Clause 5. Prior to undertaking a short sale of
tasks including undertaking of any other actions assigned by the administrative panel or the SEC, as the case may be. Division 1 Administrative Proceedings Clause 8. Administrative proceedings shall
securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in
.* Undertaking to submit to the non-exclusive jurisdiction of the Host Jurisdiction’s courts (as per Appendix III of the Handbook for CIS Operators of ASEAN CISs) [ ] 5. Evidence on the appointment of a brokerage
) [ ] 4.* Undertaking to submit to the non-exclusive jurisdiction of the Host Jurisdiction’s courts (as per Appendix III of the Handbook for CIS Operators of ASEAN CISs) [ ] 5. Evidence on the appointment