disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the
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
. The securities company shall provide a physical security system which is sufficient for preventing any unauthorised person from accessing to significant computer devices stored in the information centre
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause
High Net Worth Investor and High Net Worth Investor . Clause 3 A securities business license applicant and licensee shall have paid-up registered capital of no less than the following amounts: (1) one
connection to the organization’s internal network systems; “ use of mobile device ” means the use of mobile devices in the operation to access the critical information system via direct connection to the
investment management of mutual fund for institutional investors or ultra- ultra-high net worth investors (Ultra Accredited Investor Mutual Fund) which implements an investment strategy similar to that of a
and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as
Exchange Act (No. 2) B.E. 2542 (1999) , the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: The terms, “ institutional investor ,” “ ultra-high net