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Article 10
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The following information should be covered in the summary description of the securities firm:
- Date of establishment.
- Address and telephone number of head office and branch.
- For general manager, deputy general manager, director, supervisor and department head: List their names, indicate their concurrent job position at a different company, if any, and start date.
- Major business activities the company engages in and their percentage to the whole business.
- Major pending litigation, non-litigation or administrative action of the company, about which fact in dispute, when the action started, major parties to the action, and current status of the case should be disclosed.
- Condensed balance sheet and consolidated profit-and-loss statement for the most recent two years.
- Financial analysis should cover at least the following information:
- Financial structure
- Debt to asset ratio.
- Ratio of long-term funds to real estate and equipment.
- Solvency.
- Current ratio.
- Quick ratio.
- Interest coverage ratio.
- Cash flow.
- Cash flow ratio.
- Cash flow adequacy ratio.
- Cash re-investment ratio.
- Information about financial instruments in use not disclosed in balance sheet and other necessary information.
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