stakeholders in the surrounding ecosystem. All elements of this checklist must be addressed with appropriate evidence that these requirements are being met, or are not applicable in respect of the specific
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date
qualified liabilities. (6) “total liabilities” means: (a) all of the liabilities shown in the financial statements, excluding the following liabilities; 1. subordinated liabilities being unsecured which have
liabilities” means: (a) all of the liabilities shown in the financial statements, excluding the following liabilities; 1. subordinated liabilities being unsecured which have the remaining maturity period of
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the
liabilities deducted by qualified liabilities. (5) “total liabilities” means (a) all of liabilities shown in the financial statement but not include the following liabilities; 1. subordinated liabilities being
to the first quarter of the previous year, mainly from an increase in fees paid in respect of securities trading and futures trading. 2.3 Interest expenses The Company’s interest expenses in first
qualifications: (a) being a life insurance agent who works for the company or its subsidiary only (acting as an exclusive agent); and 3 Amended by the Notification of the Capital Market Supervisory Board No. Tor