loan, a return of the loan, a deposit of collateral or a return of collateral; (4) keep data and prepare report related to the borrowing and lending of securities in accordance with the rules as notified
must procure securities in order to enable a loan to be made to such customer or procure a source for borrowing securities for such customer, except where the customer is an institution customer which
subsequently to operate securities business. This does not include financial institutions licensed to undertake securities borrowing and lending business which offer custody for clients’ assets related to
securities borrowing and lending fee etc.. 1.3 Gain (loss) on Securities trading means gain or loss on securities trading. In the case where it has a securities trading expenses or gain or loss from securities
of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions
) securities business license type D (ง); (5) securities business license in the category of investment advisory service; (6) securities business license in the category of securities borrowing and lending
, borrowing, lending of securities or for the guarantee of purchase, sale, borrowing or lending of securities or for any other benefit, shall comply with the rules prescribed in this notification. The
interest on loan of financial institutions ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities purchased to order; (f) receivables of margin loan and
purchased to order; (f) receivables of margin loan and receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the SEC Office. (4
) 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. “ general