governance meet the following criteria in order to comply with the governance of information technology of the intermediary established under Clause 5: (1) policy on the governance of information technology
wish to invest in or dispose of real estate or leasehold right of related person for the property fund, the mutual fund management company shall fulfill the conditions specified in Clause15/1 and Clause
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
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
that have been or will be sold ; (2) to enable the borrower or other persons to return the securities previously borrowed; (3) to enable the borrower or other persons to fulfill any obligation in
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
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
with? E Staff Pressures – Internal: 1 How does the firm monitor and support staff in dealing with the pressures to meet deadlines/targets/recovery rates? 2 How does career progression work post
derivatives business. If the derivatives business licensee fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 14 Subject to
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