units of a mutual fund offered for sale to institutional or ultra high net worth investor in accordance with the Notification of the Capital Market Supervisory Board Re: Rules, Conditions and Procedures
“institutional investor,” ultra-high net worth investor,” or “high net worth investor” otherwise, the said terms shall be as defined in Clause 4, Clause 5 or Clause 6, as the case may be. Clause 3 In this
in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
institutional investor ; (2) a high net worth investor who is juristic person and expresses its intention, in writing, not to be assessed such suitability; (3) the client who wishes to invest in the investment
following clients, in which case the intermediary may bypass the suitability assessment of clients’ investment or transactions: (1) an institutional investor ; (2) an ultra-high net worth investor or a high
of such goods or variable prevailing at a given time or period of time in the future as specified in the contract; (3) a contract in which one party is entitled to demand the other party to deliver
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities
Exchange Commission No. Kor Thor 11/2560 Re Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee dated 20 February 2560 shall be repealed. Clause 2 In this
, for example, resignation of key IT personnel, insufficient budget or demand for resources exceeding the specified level in the capacity plan; (5) assignment of roles and responsibilities of the
, “ mutual fund for institutional investors or ultra-high net worth investors ” shall have the same definition as specified for such term in the Notification of the Capital Market Supervisory Board concerning