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
by cash or other assets when the specified incidents occur; 3. other contingent liabilities as stipulated by the Notification of the Office of the Securities and Exchange Commission. (7)2 “qualified
) any other asset as stipulated by the Notification of the Office of the Securities and Exchange Commission. (5) “general liabilities” means total liabilities deducted by qualified liabilities. (6) “total
conglomerate does not follow what is stipulated in Clause 3 or that the supervisor of the securities company or the authorized company does not perform duty in compliance with the rules specified in Clause 4
follow the rules stipulated in this Notification within the period specified by the Office. In cases where the securities company can neither appoint an independent director nor follow the rules stipulated
cash or other assets from the derivatives broker upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office. “qualified liabilities” mean: (1) liabilities
arising conflict of interest with a trust except it is a fair transaction which related information has been sufficiently disclosed as stipulated by the SEC Office and is not objected by beneficiaries as
cash or other assets from the securities company upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office. “qualified liabilities” mean: (1) liabilities