change in, , renewal of and termination of the agreement. (8) Stipulation of a period and method of payment of the benefit to the client while the agreement is effective. (9) Rules of practice for
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments
is obliged to deliver the goods in the amount specified in the contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a
) Enter into a new custodian agreement; (2) Renew the existing custodian agreement; (3) Other acts specified by Notification of the Office. Clause 11. The custodian granted with an approval under this
deducted by total liabilities . “ liquid assets ” means total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase agreement with accrued interest; (3
derivatives positions; (4) cash, securities, or any other assets which a derivatives broker receives from a client for payment upon receiving delivery, or which a derivatives broker receives on behalf of a
agreement with accrued interests; (3) promisory notes and bill of exchange issued by financial institution under the Law on Loan Interest of Financial Institution ; (4) investments in securities, derivatives
money which the client is entitled to be paid by the securities company , for payment of the client’s outstanding debt; (d) termination of an agreement. An agreement made between a securities company and
regulations: Clause 1 This Notification shall come into force as from 1 January 2015, except the following Clauses: (1) Clause 12(4), which is related to arrangement of agreement between clients and derivatives
securities business; (3) a payment for subscription of securities which a securities company receives from underwriting. Clause 5. A securities company must establish a unit responsible for the custody of