. The employees under the first paragraph shall mean the employees and workers of the intermediary, and shall include directors, managers or persons holding equivalent positions which are named otherwise
provisions regarding the employees’ savings and the employer’s contribution payable to the fund; (7) the provisions regarding the rules and procedures for the computation of benefits entitled to the employees
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
investors ” “ high net worth investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholde r ” and “ controlling person ” shall have the same meaning as
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
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
practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing
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
selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the latest issuance of credit rating information made by the reliable credit