company”, “executive”, “institutional investor”, “high net worth investor”, “short-term bond”, and “structured note” shall have the same definitions as given to such terms in the Notification of the
the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office
4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office; (b) In
categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt
exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt instruments under
in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in prospectus
the Capital Market Supervisory Board concerning Offer for Sale of Newly Issued Debentures Issued by a Financial Institution in the Category of Structured Notes or Debentures Which Impose Obligations on
financing, business combinations, and the design of structured finance products. 1.23 In each jurisdiction in which a CRA operates, the CRA should establish, maintain, document, and enforce policies
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