obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments

company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall

derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which

written contract or agreement on custody of clients’ assets , which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement

supplementary statement 4.1 Cash and cash equivalents It shall disclose the following detail: 20.. 20.. cash xxx xxx current and saving deposit xxx xxx bill with expiration not exceeding 3 months xxx xxx subtract

liabilities ” means total liabilities deducted by qualified liabilities . “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not including the following liabilities: (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

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale

securities offeror who is obliged to file the registration statement and draft prospectus with the SEC Office. Clause 3. A securities underwriter shall not make underwriting of the following securities, except

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note