) 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

, the business operator, whether it is acting as the borrower or its agent or the lender or its agent, shall: (1) conduct counterparty risk analysis and arrange for collateral to be provided by the

and other financial instruments; (5) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as

exceeding the value of the collateral. In this regard, such liabilities shall not have any condition of repayment before the maturity date within one year, regardless of the term of a put or call option or

which has the remaining maturity period more than 1 year as from the date of calculating, only in the portion no more than value of collateral. In this regard, such liabilities shall not have any

opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy

requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and

investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically

prices of securities via the clearing house of the securities depository center, and a net balance account of receivables from the derivatives clearing house, including the cash deposited as collateral

” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for