receivables of securities borrowing; (g) receivables of pledging account; 3 As amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 13/2559 Re: Maintenance of Financial Position
) receivables of pledging account; 3 As amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 13/2559 Re: Maintenance of Financial Position of Licensed Derivative Brokers (No. 4
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
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) “general liabilities” means total
the Company under the terms as stated above), the Company requires STEC to provide a security by pledging the Sale Shares in proportion to the remaining purchase price (or equivalent to 20,685,000
derivatives trading for customer, Clause 19, Clause 20, Clause 21, Clause 22 and Clause 25 only with respect to the review of pledging and debt repayment capability of customer, shall not apply to the service
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
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 stipulate a position