another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or affiliates, they may be presented in business groups; - In case
associated companies. The information in this part shall be described in brief and the details thereof shall be disclosed in attachment; (5) Under-construction projects. (Only in case of high-value, time
subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates
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
except for reselling or transferring made under the requirements of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without
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
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
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
of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the