procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4

uncertainty. ❑ Prepare mitigative corporate actions accordingly. Policymaker ❑ Maintain stable Geopolitics and low GPR. ❑ Provide financial assistance at critical times of overall liquidity shortage. Investors

maturity period prescribed in the disclosure document. Automatic redemption would require pre-specified terms and conditions, and investment would be limited to institutional and ultra-high-net-worth

strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk

Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business

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

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 virtue of

. Notification of the Securities 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

Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor or the central investor definitions** for investment in financial products under the SEC’s supervision, which has been revised and

trust manager, as well as overseeing the trust manager’s performance of duties as prescribed in the trust deed;  (5) Only institutional investors and ultra-high net worth investors* shall be eligible as