collateral could be canceling or decreasing the limit of the letter of credit or letter of guarantee, as the case may be. (2) terms regarding [i] change in the amount or value of the securities or [ii
letter of credit or letter of guarantee, as the case may be. (2) terms regarding [i] change in the amount or value of the securities or [ii] returning collateral, especially when the following
contingent liabilities of a derivatives broker not shown in financial statements, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bills of exchange; 2. contingent
,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance
Financial Condition of Licensed Derivatives Broker (No. 2) dated 2 May 2006 ; (3) Notification of the Securities and Exchange Commission No. Kor Thor 31/2552 Re: Maintenance of Financial Condition of Licensed
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
liabilities which may contribute to the securities company ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other
fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a
in the mutual fund management scheme and prospectus, or private fund management agreement, as the case may be, shall be included: (a) type of assets to invest; (b) return of each type of assets; (c
hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s