include receivable of securities trading by cash, under margin loans and a pledged asset receivable, i.e. the cash deposited as collateral with a securities lending creditor or the securities depository
) subordinated liabilities which is unsecured and is not under the condition permitting the creditor to call for prepayment before the maturity date, only in the portion of liabilities not exceeding the
or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an
manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to
including the following liabilities: (a) subordinated liabilities which is unsecured and is not under the condition permitting the creditor to call for prepayment before the maturity date, only in the portion
approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
beneficiary to the total future income; the management company shall show that an analysis has been done on each class of unitholders’ stake in comparison to the creditor or other parties’ rights in that future
disputes incidental to or resulted from the derivatives business. Such written agreement shall be made at the first opportunity possible but shall not exceed one year as from the date this Notification
any other similar condition, unless such condition has been waived by the SEC Office; (b) contingent liabilities which are clearly specified in a contract that the creditor has no rights to call for
) contingent liabilities which are clearly specified in a contract that the creditor has no rights to call for repayment within 1 year as from the date of calculation, only in the portion no more than the value