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
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
Notification of the Securities and Exchange Commission regarding Determination of Definitions of Institutional Investor, Ultra High Net Worth Investor and High Net Worth Investor . “ private equity ” means a
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
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
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High
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
institutional investor under the Notification of Securities and Exchange Commission concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ high net worth
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units