concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
institutional investor ; (2) a high net worth investor who is juristic person and expresses its intention, in writing, not to be assessed such suitability; (3) the client who wishes to invest in the investment
securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry
licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying