decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
definitions of ultra high net worth investors (UHNW);(2) relaxation of ratio and product limits for mutual funds which are offered to institutional investors and UHNW whereby investment in any type of financial
Acquisition and Disposition of Assets, 2004 (as amended) is less than 15 percent and the total size of all transactions in the past 6 months also does not exceed the 15 percent threshold limits as prescribed in
size of all transactions in the past 6 months also does not exceed the 15 percent threshold limits as prescribed in the regulations. The transaction takes place with immediate effect. For further
size of all transactions in the past 6 months also does not exceed the 15 percent threshold limits as prescribed in the regulations. The transaction closes with immediate effect. For further information
transactions in the past 6 months also does not exceed the 15 percent threshold limits as prescribed in the regulations. This transaction is expected to be completed within second half of 2018, subject to
the 15 percent threshold limits as prescribed in the regulations. This transaction is expected to be completed within Q1, 2019, subject to regulatory approvals. Please be informed accordingly. Yours
Agree Disagree Do you agree with imposing limits on each ICO issuer’s issuance size to retail investors? Do you agree with setting the above limits on issuance size as follows? a) During the period of 12
Concerning the Acquisition and Disposition of Assets, 2004 (as amended), is less than 15 percent and the total size of all transactions in the past 6 months also does not exceed the 15 percent threshold limits
Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits