judgment regardless of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences under law on securities and exchange or law
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
following prohibited characteristics: (1) being an incompetent or quasi-incompetent person; (2) being or having been a bankrupt; (3) having been imprisoned by the judgment of a court which is final
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
Describe the organizational sustainability management policy which is in harmony with the business directions and strategies to reflect the intention and determination to drive forward the business by taking
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
governing determination of juristic person that is institutional investor; “derivatives exchange” means any derivatives exchange licensed by the Securities and Exchange Commission and shall also means any
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
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
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