instruments or investment unit, or securities financing business under the Securities and Exchange Act; (3) a juristic person established under foreign law, which is a derivatives business operator in the
unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any person responsible for managerment of
and other financial instruments; (5) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as
instruments; (5) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as stipulted by the SEC Office. 2
following assets, financial instruments and letter of agreements, the securities company shall exclude such assets from the calculation of the client’s assets under this Notification; (a) 13 cash; (b) 14
.: (a) Various securities activities or related activities such as derivatives market, securities borrowing and lending; (b) New types of securities or related financial instruments such as derivatives