Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors. “financial institution” means: (1) a commercial bank under the Law on Financial Institutions 1 ; (2) a financial
restoration plan or operation was not approved by an agency supervising such financial institution or the Commission of the Organization for Reformation of Financial Institution System or has been ordered to
such financial institution or the Commission of the Organization for Reformation of Financial Institution System or has been ordered to rectify the damaged financial position by decreasing capital and
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
” means (a) Any person licensed to undertake derivatives business under the law on derivatives but not including any financial institution under the supervision of other organization and later obtain
financial institution which is under the supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted
in the category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law