of the board of directors to ensure that the use of information technology in the business operation facilitates the intermediaries in achieving the specified goals with appropriate use of resources
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
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it to operate as a
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
__________________________________________________ _____________________________________________________________________ 6. I/We affirm that the units of the NRI CIS will be offered entirely to non-retail investors, including institutional, high net
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
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
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
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