”)? Yes No If you answered “Yes” please skip to the question number 4.5 4.3 Is the audit oversight authority you registered with in the country that is recognised by the European Commission as equivalence
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
) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
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
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
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
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
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
Passport (“MOC”)? ( Please tick if your answer to question 8 is “No”. ) Yes No If “No”, please specify _____________________________________________________
(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should