Office and shall also supervise the investor contact to act in compliance with such rules. A Securities company may appoint any person who is not an investor contact to contact, solicit, or give any
. In this regard, the securities company shall comply with the rules prescribed by the Office and shall supervise the investor contacts to perform the duties in accordance with the rules prescribed by
contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply with the rule prescribed by the
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
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
-five percent of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis ; (5) “ retail client ” means a client other than
: Clause 1 In this Notification: " derivatives dealer " means a person holding a license to undertake a derivatives business in the category of derivatives dealer ; " institutional investor " means an
” means a person authorized by a company’s board of directors to assume the highest responsibility in the company’s management, regardless of his or her title; (3) “ institutional investor ” means an
authorized by the board of directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section
the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being permitted to be a derivatives dealer