) commercial banks; (2) finance companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic persons but not include any juristic person as prescribed in (8); (7
securities dealing: (1) commercial banks; (2) financial companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic person established under the specific law other
material information on such guarantor that may influence investors' decision making, including type of business, financial condition, operating results, the latest credit rating (if any). If the guarantor
influence investors' decision making, including type of business, financial condition, operating results, the latest credit rating (if any). If the guarantor is required to file Form 56-1 One Report as well
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
, the credit rating shall include the support credit rating assessed by the credit rating agency based on the tendency that such bank shall receive financial aids from the government if necessary. Clause
credit rating agency from the possibility for the bank to receive financial support from the Government, if in need. Clause 7/3 3 To select credit rating information under clause 7/2, derivatives broker
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial
under the law on undertaking of finance business, securities business, and credit foncier business (FC.); □ a securities company under the law on securities and exchange (SC.) licensed to operate