worth investor ,” and “ high net worth investor ” shall have the same meanings as the definitions of such terms specified in the Notification of the Securities and Exchange Commission concerning the
” shall mutatis mutandis have the same meanings as defined in the Notification of the Securities and Exchange Commission governing determination of definitions in notifications relating to issuance and
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By
Notification: “ institutional investor ” means an institutional investor as defined by the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra
“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to
underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the
operation, or services of brokerage, dealing or underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any
of the definitions specified in the Notification of the Securities and Exchange Commission relating to filing and exemption from filing of registration statement for securities offering; (3) A manager
associate company as an agent, the securities company shall inform its clients of such relationship as well. The definitions of the terms “ parent company ,” “ subsidiary company ” and “ associate company
defined by the Notification of the Securities and Exchange Commission concerning Determination of Definitions of Institutional Investor and High Net Worth Investor ; (6/1) “ high net worth investor ” means