notification of the SEC. "debenture" means any debit instrument of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender

or right of a person arising from derivatives trading. “close out a derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which

for at least one year and ready to be examined and submitted upon request by the SEC Office. Clause 5. In case it is shown that any securities company have net liquid capital at the end of any day equal

that such person obtains approval as category A investor contact according to the qualification set forth in (2) of the second paragraph of Clause 4 and the approval period shall be equal to the

do not collect money or assets, or do not draw the money from the cheque paid from the distribution of the assets, the liquidator shall deposit money equal to the amount of such debts or cheques or

equal to the amount of the license fee already paid by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for

disclosed the names of the customers or suppliers to other persons such as investors or securities/investment analysts, such information shall be included in the annual registration statement to ensure equal

in the category of derivatives brokerage limited to precious metal derivatives, the license fee paid by the applicant shall be reduced in the amount equal to the amount of the license fee already paid

apply to electricity generating business. (4) having units of the fund with an equal par value. In case of unit classification, the rules prescribed under Clause 11 shall apply; (5)6 having the policy to

or securities/investment analysts, such information shall be included in the Registration Statement to ensure equal information for all. 3. Risk factors Identify significant risk factors including the