38 0223713111 http://www.hncb.com.tw 0223713111 e-mailyorklai@hncb.com.tw 0223713111 e-mailhncb.evp@hncb.com.tw 15612 0225459988 http://www.deloitte.com.tw 749 0287225800 545 0225456888 http://www.entrust.com,tw
CONTENTS 3 9 12 253 1.2.3. 48 () 57 71 136 146 152 158
100311 iphoneipad 2,147.025.58% 6.62%4.52% 8 5 11 12 3.45%1.89%2.67% 100 100838,543 117.52% 100124 3 101 101222 101213.91%3.85%0.061004.04% 3
101100 1001213twAA twa-1+moodys101321 A3P1Financial StrengthD () OBUOBU SW(SWIFT) E 4
etabs SWIFT(Trade Services UtilityTSU) LIVE BPO(Bank Payment Obligation) (MOU) SOP 1. 2. (Life Stage)/ 5
3. 4. AO 5. 6. 7. 3A 8. 9. 2 1. 2. 3. 4. 1. 2. () 3. AO 1. 2. 3. 6
4. UPKYC 1. 2. 3. 4. 10051 100863 181 100()15,57615,575100.01 5783.8512,83112,018106.76 1,54113.652,8072,551110.04 2549.95 100838,5429117.52300 3,449865.17(3151,39691193,9339) 34.83(478,8807248,601 834,119521,8963 302,6579104,516464,347) 476,08311525,1385(9891295,6668 448,5597)163,68531.76 100 7
01 Honesty
8(1919) ( 8)1291,000() (45)3 1930 8 33 341025 35112736222 53 2,500 37660 37 11 1038615 1501005304767,100 8712290131 901114 1219 1,000 97523 9
97331 10
02 Efficiency
15214 511 31 151 1 6100124 3 18517( 1)1()100127,119 1001289 47 100122,18742 9308249222673 12
13 100.12.31
14 01. 02. 03. 04. 05. 06. 07. 08. 09. 10. 11. 12. 13. 14. 15.
16. 17. 18. 19. 20. 21. 22. 23. 24. 15
() () () 90.08.09 3 98.06.29 3,780,900,000 100% 4,310,700,000 100% 0 0 98.06.29 3 98.06.29 0 0 98.09.28 3 98.06.29 0 0 97.04.28 3 98.06.29 0 0 98.06.29 3 98.06.29 0 0 16 () 100.8.29 98.09.28 3 98.06.29 0 0 100.08.29 3 98.06.29 0 0 99.11.29 3 98.06.29 0 0 98.09.28 3 98.06.29 0 0 98.09.28 3 98.06.29 0 0 94.01.31 3 98.06.29 0 0 89.10.21 3 98.06.29 0 0 94.01.31 3 98.06.29 0 0 98.06.29 3 98.06.29 0 0 95.03.20 3 98.06.29 0 0 98.07.17 3 98.06.29 0 0 100.10.31 3 98.06.29 0 0 98.06.29 3 98.06.29 0 0 98.06.29 3 98.06.29 0 0 98.06.29 3 98.06.29 0 0 95.03.20 3 98.06.29 0 0 89.09.08 3 98.06.29 0 0 94.01.31 3 98.06.29 0 0 98.07.27 3 98.06.29 0 0 100.4.29 3 98.06.29 0 0
1001231 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 () () () () () () () () () () () () () () () () () () () () () () () () () () () () () () () () () () () () () 17
() 100 () 100.4.25 98.9.28 100.8.29 100.8.29 100.10.31 18
1 2 1 2 3 4 5 6 7 8 9 10 2 3 2 1 1 1 1 2 (1) (2)() (3) (4) (5) (6) (7) (8) (9)30 (10)27 19
12(51) (1) () ()(%)/ (2) 55 8 87 61 2 97 60 3 95 55 8 87 57 4 90 11 1 92 10 2 83 9 3 75 6 2 75 100.8.298 4 0 100 100.8.294 11 1 92 12 0 100 11 1 92 12 0 100 11 1 92 12 0 100 11 1 92 10 2 83 12 0 100 2 0 100 100.10.312 54 0 86 12 0 100 12 0 100 12 0 100 7 0 88 100.4.258 1 2(1)()(%)() (2)()(%) () 143 1001242212 1.1001242212 4,5003233 4 5 2.1002252213 32 333233 3.100328228 (1)3233 (2)3233 444 5(3233 4.1006272293 32333233 5. 1007252216 (1) 3233 (2) 3233 (3)100 6.1008292217 (1) 20
32333233 (2)4,500 (A)323332 33 (B)3233 3233 (C)3233 3233 (3)100() () 7.1009192210 (1) 32333233 (2)3233 32333233 (3)3233 32333233 8.10010312218 (1)() (2)3233 3233 (3) 32 3345 9. 10012262211 (1)3233 3233 (2) 32333233 100.12.31 1 2() 100.12.31 1 2() 2531. 2.3. 21
1001231 () 980701 0 0 0 0 0 0 - - - 950301 0 0 0 0 0 0 - - - 950701 0 0 0 0 0 0 - - - 940716 0 0 0 0 0 0 - - - 950701 0 0 0 0 0 0 - - - 920716 0 0 0 0 0 0 - - - 990914 0 0 0 0 0 0 - - - 990914 0 0 0 0 0 0 - - - 990914 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 960723 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 970116 0 0 0 0 0 0 - - - 990115 0 0 0 0 0 0 - - - 940531 0 0 0 0 0 0 - - - 960115 0 0 0 0 0 0 970301 0 0 0 0 0 0 - - - - - - 960723 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 950701 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 970524 0 0 0 0 0 0 - - - 961214 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 960401 0 0 0 0 0 0 - - - 950901 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 970524 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 970716 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 950701 0 0 0 0 0 0 - - - 22
() 990728 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 950701 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990329 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 960830 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 970716 0 0 0 0 0 0 - - - 960830 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 990428 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 970715 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 970213 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 991206 0 0 0 0 0 0 - - - 23
() 990209 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 960831 0 0 0 0 0 0 - - - 970213 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990428 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 990428 0 0 0 0 0 0 990209 0 0 0 0 0 0 - - - - - - 1000302 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 970716 0 0 0 0 0 0 - - - - - - 970408 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 970716 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 1000729 0 0 0 0 0 0 - - - - - - 1000101 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 950701 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 1000101 0 0 0 0 0 0 - - - 24
() 990209 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 951101 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 970721 0 0 0 0 0 0 - - - 980226 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 990428 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 951101 0 0 0 0 0 0 - - - 970715 0 0 0 0 0 0 - - - 960830 0 0 0 0 0 0 1000729 0 0 0 0 0 0 - - - - - - 1000302 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 1000302 0 0 0 0 0 0 - - - - - - 1000302 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 990728 0 0 0 0 0 0 - - - - - - 990209 0 0 0 0 0 0 - - - 990428 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 960904 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000310 0 0 0 0 0 0 1000302 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 970915 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 1000302 0 0 0 0 0 0 - - - - - - 25
() 980225 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 970213 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 970715 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 970715 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 990118 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 1000101 0 0 0 0 0 0 - - - 970715 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000101 0 0 0 0 0 0 - - - 1000101 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 951101 0 0 0 0 0 0 - - - - - - 960830 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 980225 0 0 0 0 0 0 - - - - - - 951101 0 0 0 0 0 0 - - - 970716 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 980729 0 0 0 0 0 0 - - - 960830 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 26
() 1000302 0 0 0 0 0 0 - - - 960830 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 1000729 0 0 0 0 0 0 990209 0 0 0 0 0 0 - - - - - - - - - 1000101 0 0 0 0 0 0 - - - 960315 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 960315 0 0 0 0 0 0 - - - - - - 1000302 0 0 0 0 0 0 - - - 980925 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 970407 0 0 0 0 0 0 980817 0 0 0 0 0 0 - - - - - - 1000729 0 0 0 0 0 0 - - - 980225 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 980525 0 0 0 0 0 0 - - - 1000101 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 1000302 0 0 0 0 0 0 - - - 970716 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 1000729 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 - - - 990209 0 0 0 0 0 0 960629 0 0 0 0 0 0 - - - - - - 950629 0 0 0 0 0 0 - - - 940817 0 0 0 0 0 0 - - - 940816 0 0 0 0 0 0 - - - 990325 0 0 0 0 0 0 - - - 990908 0 0 0 0 0 0 - - - 980903 0 0 0 0 0 0 - - - 980511 0 0 0 0 0 0 - - - 990728 0 0 0 0 0 0 - - - 970216 0 0 0 0 0 0 - - - 1 2 27
()() (A) (B) (C) (D) ABCD (E) (F) (G) (H) ABCD EFG 7,994 7,994 440 440 0 0 4,445 4,445 0.15% 0.15% 9,318 9,318 262 262 267 0 267 0 0 0 0.27% 0.27% 984 28
(A+B+C+D) (A+B+C+D+E+F+G) I J 2,000,000 2,000,000()~5,000,000() 5,000,000()~10,000,000() 10,000,000()~15,000,000() 15,000,000()~30,000,000() 30,000,000()~50,000,000() 50,000,000()~100,000,000() 100,000,000 21 21 21 21 1. 2.1000.27990.390.12 3.1,472 4.100.8.28100.8.29100.10.31 5.991141001231 ()80,481 6. 7.(B)(F) () (A) (B) (C) (D) ABCD 0 0 0 0 0 0 1,244 1,244 0.01% 0.01% 29
(A+B+C+D) E 2,000,000 2,000,000()~5,000,000() 5,000,000()~10,000,000() 10,000,000()~15,000,000() 15,000,000()~30,000,000() 30,000,000()~50,000,000() 50,000,000()~100,000,000() 100,000,000 5 5 1. 2.1000.01990.020.01% 3.100.4.25 (A) (B) (C) 6) (D) ABCD (%) 22,657 22,657 2,441 2,441 15,679 15,679 1,525 0 1,525 0 0.51% 0.51% 0 0 921 E 2,000,000 2,000,000()~5,000,000() 5,000,000()~10,000,000() 10,000,000()~15,000,000() 15,000,000()~30,000,000() 30,000,000()~50,000,000() 50,000,000()~100,000,000() 100,000,000 8 8 1. 2.0.51990.870.36 3.689 4.991141001231( )80,481 5.100 6.(B) 30
31 1001231 (%)
32 (%)
33 (%)
34 (%)
35 (%) 0 0 0 19,092 19,092 0.23% 1.100 2.
36 100 () () () ()100% () () 1. 2. () () ()224 () () () () () () (www.hncb.com.tw) () 1. 2. 100926 () 1.9812 809840336200 2. 3. 4. 5. 6. 7.
() 1.- 101 2.666 3. (1) (2) (3) (4) (5)55 (6) 4. 5. 6. () () () 100103 () 1. 2. (1) (2) (3) (SOP) AMA (4) () 1. 2.1008 3.10067 () 1001011210110112 37
38 (www.hncb.com.tw) 1. 10048 2. () 100 100311 100217228 2011 ECFA 10055 10060100 (1)100 (2) (3)
100111001231 39
(1001231 99535 20 993 33 2 9865 20 () () () () () 98280 9512 200 () ()(SOP) () 9529811 200 () ()(SOP) () () 400 () () () () () 40
99535 20 () () () () 9933 32 () () () () () 9312966 () () () 978 () () ()(SOP) 9710 ()331 ()331 PEM () () () () PEM 6 41
42
100 1. 1001242212 1 2 2.1002252213 1 2100 3 4 3.100328228 1 299 310059 4 4.1004252214 1 2 5.1005302215 199() 299 399 4 5 6.100627229 12 24 3 7.1007252216 110081 2 31008 4 43
5100 6 7 8.1008292217 1100 238()6789 3 4 5 9.1009192210 1 10.10010312218 1 2 3 11.10011282219 1 2101 12.10012262211 1101 2 3 4 44
148,281,465 0.45% 20,582 0.00% 148,302,047 0.45% 167 0.01-0.00% 167 0.01 17,946,713 3.00% - 0.00% 17,946,713 3.00% 60,912,398 0.90% 715,974 0.01% 61,628,372 0.91% 16,074,512 4.59% - 0.00% 16,074,512 4.59% 7,670,160 30.00% - 0.00% 7,670,160 30.00% 11,120,138 0.14% 125,710 0.00% 11,245,848 0.14% 700,000 3.53% - 0.00% 700,000 3.53% 125,000 5.00% - 0.00% 125,000 5.00% 54,000,000 4.95% - 0.00% 54,000,000 4.95% 5,191,875 1.15% - 0.00% 5,191,875 1.15% 1,500,000 5.00% - 0.00% 1,500,000 5.00% 3,251,250 4.44% - 0.00% 3,251,250 4.44% 2,717,920 1.00% 2,628,226 0.97% 5,346,146 1.97% 4,994,000 100.00% - 0.00% 4,994,000 100.00% 200,000,000 11.35% - 0.00% 200,000,000 11.35% 5,000,000 2.94% - 0.00% 5,000,000 2.94% 792,027 2.30% - 0.00% 792,027 2.30% 69,740 1.16% - 0.00% 69,740 1.16% 1: 2 () 1. 10011~1001231 1 2,000 v 1,410 2 2,0004,000 3 4,0006,000 v 5,000 4 6,0008,000 5 8,00010,000 6 10,000 () 5,000 1,410 1,410 10011 ~ 1001231 1005 45
46 2. 3. () 1. 100225 () V () 2. 100225 3.
03 Activeness
100.12.31 36.03 150 100,000 15,000,000 100,000 15,000,000 36.07 50 500,000 25,000,000 500,000 25,000,000 18,750,000(12.537.5) 10,000,000 37.11 5,000 200,000 1,000,000,000 200,000 1,000,000,000 475,000,000 500,000,000 38.06 0.125 200,000 25,000 200,000 25,000 (1/40,000) 39.08 7.50 200,000 1,500,000 200,000 1,500,000 1,475,000 40.03 15 200,000 3,000,000 200,000 3,000,000 1,500,000 44.09. 5 600,000 3,000,000 600,000 3,000,000 53.07 100 600,000 60,000,000 600,000 60,000,000 57,000,000 58.03 100 1,200,000 120,000,000 1,200,000 120,000,000 60,000,000 62.03 100 4,200,000 420,000,000 4,200,000 420,000,000 150,000,000 150,000,000 65.02 100 8,400,000 840,000,000 8,400,000 840,000,000 307,000,000 113,000,000 70.09 10 84,000,000 840,000,000 84,000,000 840,000,000 70.09 10 168,000,000 1,680,000,000 168,000,000 1,680,000,000 123,458,000 716,542,000 700618(70)()0681 72.02 10 252,000,000 2,520,000,000 252,000,000 2,520,000,000 67,245,000 772,755,000 720110(72)()0048 75.02 10 302,400,000 3,024,000,000 302,400,000 3,024,000,000 504,000,000 741227(74)()15826 78.03 10 453,600,000 4,536,000,000 453,600,000 4,536,000,000 196,560,000 1,315,440,000 780217(78)()7851 79.12 10 725,760,000 7,257,600,000 725,760,000 7,257,600,000 680,400,000 2,041,200,000 791126(79)()37086 81.04 10 1,016,064,000 10,160,640,000 1,016,064,000 10,160,640,000 435,456,000 2,467,584,000 810306(81)()00421 83.04 10 1,422,489,600 14,224,896,000 1,422,489,600 14,224,896,000 731,566,000 3,332,690,000 830322(83)()15799 84.04 10 2,133,734,400 21,337,344,000 2,133,734,400 21,337,344,000 618,783,000 6,493,665,000 840323(84)()17992 86.04 10 2,560,481,280 25,604,812,800 2,560,481,280 25,604,812,800 567,573,350 3,699,895,450 860314(86)()23733 87.07 10 2,880,541,440 28,805,414,400 2,880,541,440 28,805,414,400 3,200,601,600 870512(87)()37772 88.01 10 3,177,500,000 31,775,000,000 3,177,500,000 31,775,000,000 662,524,531 89,044,160 2,218,016,909 871204(87)()100482 89.08 10 3,519,800,000 35,198,000,000 3,519,800,000 35,198,000,000 635,500,000 245,500,000 2,542,000,000 890713(89)()60787 90.07 10 3,709,100,000 37,091,000,000 3,709,100,000 37,091,000,000 492,772,000 133,100,000 1,267,128,000 900621(90)()139973 96.09 10 3,780,900,000 37,809,000,000 3,780,900,000 37,809,000,000 718,000,000 96680960028219 99.08 10 4,310,700,000 43,107,000,000 4,310,700,000 43,107,000,000 5,298,000,000 9907070990033849 1 2 3 4 100.12.31 100.09 10 4,767,100,000 47,671,000,000 4,767,100,000 47,671,000,000 4,564,000,000 100 07 08 1000030569 1 2 3 4 48
1 1 4,767,100,000 4,767,100,000 100% 100% 100.12.31 1999 1,0005,000 5,00110,000 10,00115,000 15,00120,000 20,00130,000 30,00150,000 50,001100,000 100,001200,000 200,001400,000 400,001600,000 600,001800,000 800,0011,000,000 1,00,001 1 4,767,100,000 100% 1 4,767,100,000 100% 4,767,100,000 100% 99 100(1) 101331(3) (2) 20.88 20.05 20.56 4,310,700,000 4,767,100,000 4,793,473,626-1.38 1.76-1.25 0.3221 0.1791 1.0588 0.3583 1100 2 3 49
50 () 1. 2. ()0.180.36 36 () 101 () 1. 2. 3. (1)204,872 (2) (3)1.76 ()99 1.476,172 2. 3.
() 94 1 94 2 95 2A 95 2B 95 3 95 4 93.12.24 ()0930036816 93.12.24 ()0930036816 95.5.2() 09500180970 95.5.2() 09500180970 95.5.2() 09500180970 95.5.2() 09500180970 94128 9422 95915 95915 95926 95113 1000 1000 1000 1000 1000 1000 33 30 10 10.5 10.5 50 2.47% 2.49% 6165 2.6% 2.6% 6165 90CP/BAFIXINGS 90CP/BAFIXINGS RATE16bp RATE26.5bp 7, 7, 8, 10, 12, 7, 101128 10122 103915 105915 107926 102113 () 33 30 10 10.5 10.5 50 370.91 370.91 370.91 370.91 370.91 370.91 586.79 586.79 717.35 717.35 717.35 717.35 (%) 165.26% 165.26% 104.93% 104.93% 104.93% 104.93% 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 51
95 5 95 6 96 1 96 2 96 3 96 5 95.5.2() 09500180970 95.5.2() 09500180970 95.5.2() 09500180970 96.7.19 96.7.19 96.7.19 ()09600289350 ()09600289350 ()09600289350 951127 951214 96213 96920 96920 96928 1000 1000 1000 1000 1000 1000 17 20 20 45 12 5 2.45% 6165 2.4% 616590 90CP/BAFIXINGS RATE26.5bp CP/BA1100 0.90% FIXINGS RATE0.35% 3.35% 1.90% 4.35% 616590CP/BA 1100FIXINGS RATE 10, 7, 10, 7, 1051127 1021214 106213 103920 17 20 20 45 12 5 370.91 370.91 370.91 370.91 370.91 370.91 717.35 717.35 717.35 765 765 765 7 7 (%) 104.93% 104.93% 104.93% 108.78% 108.78% 108.78% 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twa 100.12.13 twaa- 100.12.13 twa 52
96 6 96 7 97 1 97 3 97 4 97 5 96.7.19 96.7.19 96.7.19 96.7.19 96.7.19 96.7.19 ()09600289350 ()09600289350 ()09600289350 ()09600289350 ()09600289350 ()09600289350 96928 961220 97116 97418 9759 97516 1000 1000 1000 1000 1000 1000 10 25 15 23 17 35 3% 616590 3.08% 3.1% 616590 3.2% CP/BA1100 CP/BA1100 FIXINGS RATE0.38% FIXINGS RATE0.50% 12, 7, 10, 7, 7, 8, 108928 1031220 107116 104418 10459 105516 () () 10 25 15 23 17 35 370.91 370.91 370.91 370.91 370.91 370.91 765 765 765 765 765 765 (%) 108.78% 108.78% 88.33% 88.33% 88.33% 88.33% 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 53
98 1 98 2 98 3 98 4 99 1 100 1 98.2.23 98.2.23 ()09800045140 ()09800045140 98.2.23() 0980004514098.10.16 09800436220 98.2.23 ()09800045140 99.9.27 09900368070 100.11.14 10000387970 98424 98716 98129 981229 991123 100126 1000 1000 1000 1000 1000 1000 20 20 30 30 50 50 2.6% 2.45% 2.6% 1.65% 1.63% 3.3% 4.3% 8, 8, 10, 10, 7, 106424 106716 1081229 1091123 107126 / () / / / 20 20 30 30 50 50 378.09 378.09 378.09 378.09 378.09 431.07 779.96 779.96 779.96 779.96 832.94 900.09 10 (%) 83.43% 83.43% 83.43% 83.43% 76.74% 70.88% 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twa 100.12.13 twaa- 100.12.13 twaa- 100.12.13 twaa- 54
55 ( 91.3.1 0918010160 300 ()90.12.14198 () ():199.749.7150 () 1.91359,593 10,8833% 2.1.98% 92.8.1 0920036576 500 ()92.7.11203 () ():307166141 () 1.92384,035 24,4426.8% 2.1.84% 93.12.24 0930036816 300 ()93.12.32075 () (): 63 () 1.93429,929 45,89412% 2.0.77% 95.5.2 09500180970 200 ()95.2.272012 () (): 162 () 1.95483,772 28,0306.2% 2.904.2%62 3.1.53%
04 Responsibility
(1)() (2) (3)() (4) (5)() (6) (7) (8) (9) (10)() (11) (12) (13)() (14) (15) (16) (17) (18) (19)() (20) (21) (22) (23) (24) (25) (26) (27) (28) (29) (30) (31) (32) (33) (34) (35) (36) (37) (38) (39) (40) 57
(41) (42) (43) (44) (45) (46) (47) (48) 1. 98(98.12.31) 99(99.12.31) 100(100.12.31) % % % 858,561 56.18 949,062 60.37 972,778 59.91 652,304 42.68 614,678 39.10 643,912 39.65 17,470 1.14 8,359 0.53 7,124 0.44 1,528,335 100 1,572,099 100 1,623,814 100 2. 98(98.12.31) 99(99.12.31) 100(100.12.31) % % % 382,858 34.84 435,893 34.95 426,271 32.42 299,990 27.30 309,526 24.82 323,295 24.59 416,084 37.86 501,784 40.23 565,281 42.99 1,098,932 100.00 1,247,203 100.00 1,314,847 100.00 3. 98(98.12.31) 99(99.12.31) 100(100.12.31) : % % % 8,409 4.26 10,868 4.26 12,316 4.39 10,129 5.14 12,819 5.02 18,541 6.60 178,626 90.60 231,633 90.72 249,873 89.01 197,164 100.00 255,320 100.00 280,730 100.00 100 99 13,168 31% 11,592 31% 1,576 14% 11,618 27% 9,789 26% 1,829 19% 4,870 12% 5,509 14% ( 639) ( 12%) 7,937 19% 7,210 19% 727 10% 2,319 5% 2,539 7% ( 220) ( 9%) 2,447 6% 1,243 3% 1,204 97% 42,359 100% 37,882 100% 4,477 12% 1./ 2. 3.100991001,020 58
100 313 100.05.09 612 185 100.12.19 16112 199 100.12.19 331 1001216,238149912517153.29 16,166909912529503.39 9,727789912237162.50 6,439129912292344.76712499 121235-14.77 59.9139.650.44 1001213,148()12,047 91.63%1,1018.37%11,298 85.93%7495.70%6,36448.40% 4,93437.53%5,10838.85% 1,2569.55% 100996765.42%3502.99% 32642.06%3052.77%45 6.39%257-3.88%56212.85% 77-1.49%180-12.53% 10096,655213,18870 15.808,642,032 137,5881.57 12 34 59
60 1. 1008,04191812.89 102,94126,42034.53 2. (1) XML (2)100 XML (3)100XML XML1 XML1 1002,427,880994,4910.19 280,730,1749925,410,1049.95() 61,330997,112-10.3912,316,579991,448,811 13.33()70,989995,840-7.60 18,540,767995,721,23144.63() 2,295,5619917,4430.77249,872,82899 18,240,0627.87 100OBU777,67099 29,8551003,455,341 99281,9658.89%1006,25799 1,64720.84%1,003,96699147,14112.78%100 12,063991,2659.49%1,300,480 99103,4677.37%100 442,5989916,1343.52%37,157,14699 356,3050.97% 100124,93499124,37256212.85
1. (1)1001211511002,852 (2)100121,4406,503100 143,484 (3)100146,109 2. (1)1001255568 1,654 (2)10016,470 3. (1) 100444664 (2) 100556 4. (1)10012()2535,914 (2)10012 156,194 (3)1007,809 10023.172689.1%25.39 2.22-8.7%(1)14.62100 63.1%17.673.05-17.3%(2)0.24100 1.1%0.300.06-20.0%(3)1.70 1007.3%1.720.02-1.2%(4) 0.541002.3%0.510.035.9%(5) 6.0710026.2%5.190.88 17.0% 100185310997 10019.7723.8782.8% 61
/(FX SWAP)(IRS)(CCS)100 177991334433% 100838,5429117.52300 3,449865.17(3151,39691193,9339 )34.83(478,8807 248,601834,1195 21,8963302,6579104,5164 64,347)476,08311525,1385(98 91295,6668448,5597) 163,68531.76 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 1. 2. 62
3. 1 4. 5. 6. B2C 7. () 8. 9. 10. 11. 12.12 13. 14. 15.(100)FCI 16.e-Finance 17. 18. 19. 20. 21.10135 22. 23. MOU 63
64 24.101 25.(OBU)OBU 26. 27. DM 28. 29. 30. 31. 32. 33. 34.FC 35. 36. 37. 38. 39./ 40. 41. 42. 43. 44. 45.(FX SWAPCCS) 46.(TMU)
1. 100185 17 (1)1 2. : 1003728 ECFA ECFA 101 1007(OBU) 3. (1) a. b. c. d. (2) a.ecfa b.(obu) c. d. 65
66 (3) a.100373,359 b. c. d. (4) a. b c. d. 99111010076 99111910010271001231 131,605 99610136,551 213 998 99 9834175100991639998348125 10099153101362,934 1,176 1007101321,826 118 10010101369,791 691
1. : (101) 2. 440 101 3 31 99 100 101331 7,126 7,119 7,039 42.12 42.18 42.27 17.43 17.22 17.62 0 1 1 499 570 565 5,753 5,750 5,686 810 739 730 64 59 57 6,228 6,287 6,234 4,820 4,949 4,923 5,884 5,935 5,881 2,140 2,168 2,153 5,526 5,540 5,503 14,723 14,769 3,963 3,016 2,579 319 12 11 0 100 100311 1002172282011 ECFA 1005510060100 67
68 1.100 2. 3. EDI 603 SFA 1.ISO27001 2. 1. 2.
9812809840336200 1011283 993 12350 9934230 9912 307632 148500 () 58400 ()94500 () 6232 991217960 LEED() VOC 800KW 69
05 Teamwork
961231 971231 981231 991231 1001231 172,714,212 154,819,730 177,451,110 123,780,159 141,835,135 38,137,265 39,307,562 26,294,415 25,387,124 33,925,915 777,627 6,141,391 3,935,604 1,773,814 349,905 28,175,899 26,447,543 29,411,308 28,254,316 44,213,290 1,053,658,484 1,122,582,898 1,104,726,331 1,245,812,985 1,308,303,285 119,051,671 100,144,832 70,132,532 61,402,251 65,908,870 170,956,258 186,745,664 322,968,471 304,206,987 288,324,506 180,575 221,932 215,845 254,634 271,865 7,466,020 6,990,594 7,219,858 10,044,891 17,342,436 23,310,331 23,911,370 23,106,476 25,914,017 28,011,623 615,754 531,667 456,525 559,868 446,994 14,215,257 10,198,225 10,378,022 9,965,998 7,528,347 1,629,259,353 1,678,043,408 1,776,296,497 1,837,357,044 1,936,462,171 89,175,648 51,736,738 48,621,314 43,638,222 82,357,240 40,708,966 47,985,400 41,999,203 37,659,552 27,790,094 35,545,809 33,345,144 18,188,348 20,125,671 20,719,589 42,216,875 42,749,262 36,208,428 33,819,533 39,809,157 47,888,225 44,690,494 37,208,428 35,207,829-1,299,334,142 1,385,566,970 1,512,713,803 1,564,252,346 1,617,655,576 34,900,000 29,800,000 26,300,000 31,300,000 33,650,000 930,535 1,245,160 1,489,927 1,710,898 1,889,730 708,884 749,916 690,156 7,864,112 9,476,095 7,721,566 6,868,459 6,790,420 6,977,161 7,531,450 1,551,242,425 1,600,047,049 1,693,001,599 1,747,347,495 1,840,878,931 1,556,913,775 1,601,988,281 1,694,001,599 1,748,735,791-37,809,000 37,809,000 37,809,000 43,107,000 47,671,000 13,466,348 12,618,085 12,618,085 12,618,085 12,694,777 21,737,848 26,887,500 28,925,064 28,576,902 31,067,394 16,066,498 24,946,268 27,925,064 27,188,606-6,158,742 6,910,441 6,687,437 6,683,357 8,342,497 ( 59,749) ( 97,029) ( 125,787) ( 144,153) ( 51,889) ( 1,095,261) ( 6,131,638) ( 2,618,901) ( 831,642) ( 4,140,539) 78,016,928 77,996,359 83,294,898 90,009,549 95,583,240 72,345,578 76,055,127 82,294,898 88,621,253-1(100101) 29697-9899-10097 310012122,404,017 96 97 98 99 100 25,380,719 25,549,416 15,897,798 16,880,076 19,574,630 10,798,451 6,263,284 12,539,376 10,611,579 10,459,868 9,250,921 5,080,408 10,644,117 6,559,251 4,760,831 14,820,693 14,550,760 14,164,407 14,399,439 15,251,385 12,107,556 12,181,532 3,628,650 6,532,965 10,022,282 8,663,282 9,983,766 3,978,796 5,949,838 8,385,429 () - - - - - 8,663,282 9,983,766 3,978,796 5,949,838 8,385,429 1.82 2.09 0.83 1.25 1.76 9697-9899-10097 71
96 97 98 99 100 81.94 81.88 73.93 80.40 81.73 1.52 1.67 1.58 0.79 0.47 1.59 1.52 0.70 0.49 0.58 3.50 3.48 1.99 1.80 1.90 () 0.02 0.02 0.02 0.01 0.02 () 5,129 4,422 4,021 3,858 4,219 () 1,228 1,388 563 835 1,178 18.38% 18.44% 5.19% 8.57% 12.30% 0.53% 0.60% 0.23% 0.33% 0.44% 11.21% 12.80% 4.93% 6.87% 9.04% 23.95% 31.38% 13.99% 21.64% 27.92% () 1.82 2.09 0.83 1.25 1.76 95.20% 95.35% 95.30% 95.10% 95.05% 29.88% 30.66% 27.74% 28.79% 29.31% 2.49% 2.99% 5.86% 3.44% 5.39% 20.11% 0.61% ( 70.21%) 80.04% 53.41% 21.08% 17.00% 5.91% 5.00% ( 8.14%) 591.87% 516.78% 502.89% 502.19% 377.39% ( 100.98%) ( 49.91%) ( 6.32%) ( 9.56%) 21.01% 16.78% 18.95% 27.61% 24.91% 18.61% () 25,763,938 23,300,551 22,896,781 22,262,550 15,340,004 2.31% 1.99% 1.97% 1.71% 1.12% 4.95% 4.85% 5.02% 4.89% 4.86% 3.93% 3.89% 3.90% 3.93% 3.98% 6.12% 6.05% 6.21% 6.12% 6.02% 5.91% 6.14% 6.01% 6.33% 6.30% (20) 1. 10099 2. 10099 3. 10099 4. 10099 5. 1009910099 6. 10099 72
7. 10099 99 8. 10099300 9. 10099 1. (1) / (2) / (3) / (4) / (5) / (6) / (7) / 2. (1) / (2) / (3) / (4) / (5)(-)/ 3. (1)(1) / (2) / 4. (1)() / (2)() / 5. (1) / ( ) (2) / () (3) / 6. / 7. (1) / (2) (2) / (3) / (4) / 1 2 73
% (1) 2 96 97 98 99 100 100 12 31 (5) 37,809,000 37,809,000 37,809,000 43,107,000 47,671,000 47,671,000 3,000,000 3,000,000 3,000,000 3,000,000 12,618,085 12,618,085 12,618,085 12,618,085 12,694,777 12,694,777 11,203,870 14,054,026 17,049,156 18,242,794 20,027,746 20,027,746 1,084,234 6,131,638 2,618,901 889,001 889,001 11,371,214 11,749,240 5,744,270 5,854,805 10,150,647 10,150,647-1,786,833-7,734,271-4,002,066-2,073,223-5,124,181-5,124,181 4,681,802 4,010,545 4,033,668 5,191,331 4,478,924 4,478,924 66,533,534 65,569,769 74,316,415 78,177,031 84,830,066 84,830,066 5,000,000 5,000,000 5,000,000 5,000,000 5,000,000 5,000,000 6,158,742 6,910,441 6,687,437 6,683,357 8,342,497 8,342,497 45% 289,282 677,522 565,820 493,843 419,289 419,289 4,066,049 1,978,328 696,568 1,064,533 1,064,533 32,645,000 32,784,885 33,760,000 33,880,000 33,230,000 33,230,000 4,681,798 4,010,545 4,033,668 5,191,331 4,478,924 4,478,924 43,477,275 43,340,631 42,676,157 40,865,869 43,577,395 43,577,395 1,050,000 304,695 370,696 250,000 1,050,000 304,695 370,696 250,000 111,060,809 109,215,095 117,363,268 119,292,900 128,407,461 128,407,461 74
(1) 2 96 97 98 99 100 100 12 31 (5) 950,457,729 1,007,263,747 944,525,259 983,033,011 1,084,249,685 1,084,249,685 2,000,000 2,060,045 2,049,372 2,498,604 225,469 225,469 55,366,875 / 55,050,938 50,933,763 45,925,350 42,084,700 42,084,700 18,840,025 5,332,163 6,487,189 4,933,418 5,736,407 5,736,407 1,026,664,629 1,069,706,893 1,003,995,583 1,036,390,383 1,132,296,261 1,132,296,261 10.82% 10.21% 11.69% 11.51% 11.34% 11.34% () 10.82% 10.22% 11.70% 11.52% 11.36% 11.36% 6.48% 6.13% 7.40% 7.54% 7.49% 7.49% 4.24% 4.05% 4.25% 3.95% 3.85% 3.85% 0.10% 0.03% 0.04% 0.02% 0.00% 0.00% 2.35% 2.25% 2.13% 2.35% 2.46% 2.46% (20%) 1 2 3 4 1. 2.12.5 3. 4. 5. 6. 7. 5 6: Basel I: (1)Basel I (2)Basel I 75
76
0920123784 0930128050 77
11000 $ 36,538,490 $ 18,364,347 99 11500 105,296,645 105,415,812-12000 33,925,915 25,387,124 34 12500 349,905 1,773,814 ( 80) 13000 44,213,290 28,254,316 56 13500 1,308,303,285 1,245,812,985 5 14000 65,908,870 61,402,251 7 14500 288,324,506 304,206,987 ( 5) 15000 271,865 254,634 7 15500 17,342,436 10,044,891 73 18500 28,011,623 25,914,017 8 19000 446,994 559,868 ( 20) 19500 7,528,347 9,965,998 ( 24) 10000 $ 1,936,462,171 $ 1,837,357,044 5 21000 $ 82,357,240 $ 43,638,222 89 22000 27,790,094 37,659,552 ( 26) 22500 20,719,589 20,125,671 3 23000 39,809,157 33,819,533 18 23500 1,617,655,576 1,564,252,346 3 24000 33,650,000 31,300,000 8 25000 1,889,730 1,710,898 10 25500 9,476,095 7,864,112 20 29500 7,531,450 6,977,161 8 20000 1,840,878,931 1,747,347,495 5 31001 47,671,000 43,107,000 11 31500 12,694,777 12,618,085 1 32001 20,027,746 18,242,794 10 32003 889,001 2,618,901 ( 66) 32011 10,150,647 7,715,207 32 32000 31,067,394 28,576,902 9 32501 8,342,497 6,683,357 25 32521 ( 51,889) ( 144,153) - 32523 () ( 4,140,539) ( 831,642) - 32500 4,150,069 5,707,562 ( 27) 30000 95,583,240 90,009,549 6 $ 1,936,462,171 $ 1,837,357,044 5 78
41000 $ 31,513,969 $ 26,604,348 18 51000 ( 11,939,339) ( 9,724,272) 23 19,574,630 16,880,076 16 49100 4,788,807 5,259,226 ( 9) 49200 49300 () 2,486,018 ( 2,243,597) - 341,195 887,522 ( 62) 49500 87,580 76,871 14 49600 () ( 1,045,164) 3,852,029 ( 127) 49700 680 15,640 ( 96) 49805 218,963 393,693 ( 44) 48095 3,026,579 2,006,846 51 49899 555,210 363,349 53 10,459,868 10,611,579 ( 1) 30,034,498 27,491,655 9 51500 ( 4,760,831) ( 6,559,251) ( 27) 58500 ( 9,809,120) ( 9,403,882) 4 59000 ( 956,668) ( 1,007,523) ( 5) 59500 ( 4,485,597) ( 3,988,034) 12 ( 15,251,385) ( 14,399,439) 6 61001 10,022,282 6,532,965 53 61003 ( 1,636,853) ( 583,127) 181 69000 $ 8,385,429 $ 5,949,838 41 69500 $ 2.10 $ 1.76 $ 1.37 $ 1.25 79
$ 37,809,000 $ 12,616,760 $ 1,325 $ 12,618,085 - - - - - - - - - - - - 5,298,000 - - - - - - - - - - - - - - - - - - - 43,107,000 12,616,760 1,325 12,618,085 - - - - - - - - - - - - - 4,564,000 - - - - - - - - - - - - 76,692-76.692 - - - - - - - - - - - - $ 47,671,000 $ 12,693,452 $ 1,325 $ 12,694,777 476,172475,980 80
$ 17,049,156 $ 6,131,638 $ 5,744,270 $ 28,925,064 $ 6,687,437 ($ 125,787) ($ 2,618,901) $ 83,294,898 1,193,638 - ( 1,193,638) - - - - - - ( 3,512,737) 3,512,737 - - - - - - - ( 1,000,000) ( 1,000,000) - - - ( 1,000,000) - - ( 5,298,000) ( 5,298,000) - - - - - - 5,949,838 5,949,838 - - - 5,949,838 - - - - ( 4,080) - - ( 4,080) - - - - - - 1,787,259 1,787,259 - - - - - ( 18,366) - ( 18,366) 18,242,794 2,618,901 7,715,207 28,576,902 6,683,357 ( 144,153) ( 831,642) 90,009,549 1,784,952 - ( 1,784,952) - - - - - - ( 1,787,259) 1,787,259 - - - - - - - ( 1,388,296) ( 1,388,296) - - - ( 1,388,296) - - ( 4,564,000) ( 4,564,000) - - - - - 8,385,429 8,385,429 - - - 8,385,429-57,359-57,359 - - - 57,359 - - - - - - - 76,692 - - - - 1,659,140 - - 1,659,140 - - - - - - ( 3,308,897) ( 3,308,897) - - - - - 92,264-92,264 $ 20,027,746 $ 889,001 $ 10,150,647 $ 31,067,394 $ 8,342,497 ($ 51,889) ($ 4,140,539) $ 95,583,240 81
8,385,429 $ 5,949,838 980,485 1,031,810 4,760,831 6,559,251 76,458 - - 19,490 ( 2,554,175) 1,852,373 ( 680) ( 15,640) ( 87,580) ( 76,871) 70,583 38,082 221 3,064 - ( 10,618) 178,832 220,971 ( 202,538) 223,916 ( 8,225,858) 1,910,559 ( 7,628,216) ( 7,195,292) ( 16,010,100) ( 1,424,795) 5,990,026 ( 2,388,449) 909,917 ( 339,638) ( 13,356,365) 6,358,051 119,167 53,188,158 1,423,909 2,161,790 ( 66,971,285) ( 144,711,830) ( 7,815,516) 10,492,966 1,469,495,458 2,101,438,742 ( 1,453,612,977) ( 2,082,677,258) ( 7,370,706) ( 2,897,376) ( 508,881) ( 514,141) ( 494) ( 1,569) - 10,673-5,834 ( 83,521) ( 171,929) ( 4,576) ( 83,008) 1,764,581 ( 2,730,029) ( 63,564,841) ( 66,488,977) 38,719,018 ( 4,983,092) 53,403,230 58,034,370 593,918 1,937,323 5,000,000 5,000,000 ( 2,650,000) - 1,611,983 678,129 ( 322,904) 249,667 ( 1,388,698) ( 1,000,446) 94,966,547 59,915,951 128,802 ( 267,818) 18,174,143 ( 482,793) 18,364,347 18,847,140 $ 36,538,490 $ 18,364,347 $ 11,640,563 $ 9,819,226 $ 610,506 $ 374,861 $ - $ 1,006,594 $ 46,089 $ 25,187 $ 10,280 $ 93,423 $ - $ 2,243,733 82
10 7,1197,126 83
() () () Bloomberg () 84
() () 1. 2. 3. () () () () 85
1. 2. 3. 4. () () 86
() () () () 87
() () () () 88
() () () 1.2. () () 334,686 $ 9,244,008 $ 8,984,969 953,328 804,440 11,312,007 2,930,320 15,029,147 5,644,618 $ 36,538,490 $ 18,364,347 $ 36,753,703 $ 45,574,952 19,532,960 14,376,809 43,373,024 42,148,203 234,293 210,180 97,353 78,567 5,305,312 3,027,101 $ 105,296,645 $ 105,415,812 89
$ 14,847,312 $ 11,651,181 1,167,705 950,003 1,068,527 337,541 992,114-628,163 1,342,243 344,273 1,205,040 267,774 281,817 224,166 146,101 105,681 290,104 85,972 119,331 84,317 80,331 19,816,004 16,403,692 7,863,523 4,899,603 5,750,269 4,083,829 496,119-14,109,911 8,983,432 $ 33,925,915 $ 25,387,124 $ 628,165 $ 1,341,705 568,568 315,240 114,505 272,266 85,221 1,997,714 2,612 280,057 41,371 16,621 1,440,442 4,223,603 26,349,652 33,435,949 $ 27,790,094 $ 37,659,552 $ 100,063,276 $ 77,310,729 67,583,196 78,311,188 46,792,200 65,803,186 3,088,050 6,619,583 1,725,675 1,209,500 11,611,5549,411,369 9,125,53611,654,966 9,269,80010,343,100 90
$ 23,590,617 $ 7,243,402 5,903,387 6,878,521 5,510,231 5,638,894 4,927,655 3,966,105 3,678,708 3,111,070 2,548,945 2,898,437 2,387,332 2,918,934 48,546,875 32,655,363 ( 4,333,585) ( 4,401,047) $ 44,213,290 $ 28,254,316 $ 4,401,047 $ 1,994,560 25,634 2,422,958 ( 111,431) ( 488,691) 8,688 545,630 9,647 ( 73,410) $ 4,333,585 $ 4,401,047 $ 6,058,356 $ 3,894,873 20,431 20,391 212,339,434 457 $ 9,232,450 $ 10,164,642-10,749 56,131 145,182 94,850 100,532 272,893,891 285,565,915 480,325 421,195 143,492,486 139,456,159 200,605,228 193,172,173 122,689,630 116,354,001 19,220,785 19,094,963 546,059,692 482,689,174 6,424,238 9,442,827 1,321,249,706 1,256,617,512 ( 13,162,115) ( 10,804,527) 215,694 - $ 1,308,303,285 $ 1,245,812,985 246,422476,615 91
$ 6,549,041 $ 4,255,486 $ 10,804,527 $ 7,697,986 $ 4,618,699 $ 12,316,685 2,429,806 2,204,633 4,634,439 3,713,465 338,648 4,052,113 ( 2,020,633 ) - ( 2,020,633) ( 4,776,461) - ( 4,776,461) - ( 284,464) ( 284,464) - ( 616,560) ( 616,560) 4,324 23,922 28,246 ( 85,949) ( 85,301) ( 171,250) $ 6,962,538 $ 6,199,577 $ 13,162,115 $ 6,549,041 $ 4,255,486 $ 10,804,527 $ 13,378,510 $ 4,906,028 5,366,587 2,110,445 1,337,314,620 4,551,547 $ 27,707,478 $ 25,130,624 11,121,418 13,861,078 8,854,316 8,957,306 8,703,115 6,242,904 8,692,931 6,467,011 678,237 654,872 151,375 88,456 $ 65,908,870 $ 61,402,251 6,069,1002,781,2002,123,0000 $ 279,300,000 $ 297,315,000 3,257,951 3,010,562 3,111,689 2,358,425 2,654,866 1,523,000 $ 288,324,506 $ 304,206,987 92
$ 186,506 100.00 $ 166,036 100.00 85,359 30.00 88,598 30.00 $ 271,865 $ 254,634 87,58076,871 70,58338,082 $ 13,147,014 $ 5,776,308 3,964,351 3,970,089 162,562 161,148 145,265 255,682 21,307 28,592-704 17,440,499 10,192,523 ( 98,063) ( 147,632) $ 17,342,436 $ 10,044,891 $ 147,632 $ 108,699 105,179 57,751 ( 127,305) ( 116,418) ( 28,146) 100,058 703 ( 2,458) $ 98,063 $ 147,632 2,508,2001,358,000 93
$ 5,113,092 $ 12,521,893 $ 4,973,807 $ 928,263 $ 2,084,715 $ 270,384 $ 1,282,529 $ 27,174,683-15,223 132,938 22,742 54,056 35,238 248,684 508,881 - - ( 208,223) ( 39,265) ( 20,538 ) ( 42,337) - ( 310,363) 32,697 50,233 59,355-6,227 5,189 ( 166,095) ( 12,394) - - 2,276 746 939 924-4,885 5,145,789 12,587,349 4,960,153 912,486 2,125,399 269,398 1,365,118 27,365,692 10,331,949 36,345 - - - - - 10,368,294 2,404,017 - - - - - - 2,404,017 - - - - - - - - ( 43,975) - - - - - - ( 43,975) 12,691,991 36,345 - - - - - 12,728,336-4,687,522 4,174,260 810,945 1,814,048 142,185-11,628,960-283,450 292,691 40,535 92,147 50,018-758,841 - - ( 208,218) ( 39,084) ( 20,503) ( 42,337) - ( 310,142) - - 1,403 - - - - 1,403 - - 1,599 420 777 547-3,343-4,970,972 4,261,735 812,816 1,886,469 150,413-12,082,405 $ 17,837,780 $ 7,652,722 $ 698,418 $ 99,670 $ 238,930 $ 118,985 $ 1,365,118 $ 28,011,623 $ 4,691,337 $ 12,513,824 $ 5,010,716 $ 945,413 $ 2,076,537 $ 263,756 $ 175,553 $ 25,677,136-10,504 105,424 29,821 41,192 46,967 280,233 514,141 - - ( 173,454) ( 45,233) ( 30,774) ( 38,023) - ( 287,484) 421,755 ( 2,435) 38,008-594 - 826,743 1,284,665 - - ( 6,887) ( 1,738) ( 2,834) ( 2,316) - ( 13,775) 5,113,092 12,521,893 4,973,807 928,263 2,084,715 270,384 1,282,529 27,174,683 8,509,971 39,444 - - - - - 8,549,415 - - - - - - - - - - - - - - - - 1,821,978 ( 3,099) - - - - - 1,818,879 10,331,949 36,345 - - - - - 10,368,294-4,420,541 4,023,764 809,065 1,738,661 128,044-11,120,075-295,156 326,390 48,211 107,887 51,726-829,370 - - ( 173,454) ( 45,176) ( 29,924) ( 35,866) - ( 284,420) - ( 28,175) 2,946 - - - - ( 25,229) - - ( 5,386) ( 1,155) ( 2,576) ( 1,719) - ( 10,836) - 4,687,522 4,174,260 810,945 1,814,048 142,185-11,628,960 $ 15,445,041 $ 7,870,716 $ 799,547 $ 117,318 $ 270,667 $ 128,199 $ 1,282,529 $ 25,914,017 () 17,580,8665,538,265 ()3,068 1,4032,946 () 94
$ 529,648 $ 83,521 ($ 200,895 ) $ 3,888 $ 612 $ 416,774 30,220 - - - - 30,220 $ 559,868 $ 83,521 ($ 200,895 ) $ 3,888 $ 612 $ 446,994 $ 456,523 $ 171,929 ($ 181,219) $ 82,940 ($ 525) $ 529,648 2 - ( 2) - - - 30,220 - - - - 30,220 $ 486,745 $ 171,929 ($ 181,221) $ 82,940 ($ 525) $ 559,868 6,39210,483 $ 5,683,750 $ 5,657,236 854,204 1,764,121 822,483 619,945 29,030 1,794,894 138,880 129,802 $ 7,528,347 $ 9,965,998 $ 432,021 $ 815,689 $ 1,247,710-494 494 - - - 2,114-2,114 434,135 816,183 1,250,318 4,790,503 18,052 4,808,555 - - - 43,975-43,975 4,834,478 18,052 4,852,530-383,178 383,178-20,749 20,749 - - - - - - - 403,927 403,927 15,851-15,851 - - - ( 680) - ( 680) 15,171-15,171 $ 5,253,442 $ 430,308 $ 5,683,750 95
$ 853,828 $ 763,901 $ 1,617,729 4 1,565 1,569 ( 55) ( 39) ( 94) ( 421,756) 50,262 ( 371,494) 432,021 815,689 1,247,710 6,618,426 14,953 6,633,379 ( 5,945) - ( 5,945) ( 1,821,978) 3,099 ( 1,818,879) 4,790,503 18,052 4,808,555-333,824 333,824-21,219 21,219 - ( 39) ( 39) - 28,174 28,174-383,178 383,178 25,657-25,657 - - - ( 9,806) - ( 9,806) 15,851-15,851 $ 5,206,673 $ 450,563 $ 5,657,236 () () 20,74921,219 () 6809,806 () 5,834 $ 40,000,000 $ 11,000,000 1,880,078 2,133,850 657,700 461,300 154,800 - $ 42,692,578 $ 13,595,150 $ 1,816,500 $ 1,357,000 389,900 763,600 230,000 220,000 90,000 90,000 50,000 50,000 50,000 50,000 66,178 64,550 $ 2,692,578 $ 2,595,150 96
$ 69,941,190 $ 30,065,497 5,794,455 5,558,397 636,148 389,399 82,045 88,492 5,903,402 7,536,437 $ 82,357,240 $ 43,638,222 $ 15,028,592 $ 5,638,678 6,119,839 7,276,313 4,314,429 2,040,422 2,588,798 2,273,993 2,566,167 2,263,605 1,175,412 486,218 1,025,535 5,321,345 6,990,385 8,518,959 $ 39,809,157 $ 33,819,533 $ 55,805,195 $ 47,964,745 418,295,382 410,270,579 291,172,572 275,159,196 4,317,600 5,036,600 847,099,195 824,540,691 965,632 1,280,535 $ 1,617,655,576 $ 1,564,252,346 95-12.45%100.12.15 $ - $ 2,400,000 95-2A103.09.15 1,000,000 1,000,000 95-32.6%107.09.26 1,050,000 1,050,000 95-4102.11.03 5,000,000 5,000,000 95-52.45%105.11.27 1,700,000 1,700,000 95-6102.12.14 2,000,000 2,000,000 96-2103.09.20 4,500,000 4,500,000 96-3103.09.20 1,200,000 1,200,000 96-7103.12.20 2,500,000 2,500,000 97-23.00%100.03.11-250,000 97-4104.05.09 1,700,000 1,700,000 98-33.3%4.3% 3,000,000 3,000,000 108.12.09 99-11.65%109.11.23 5,000,000 5,000,000 100-11.63%107.12.06 5,000,000 - $ 33,650,000 $ 31,300,000 97
$ 8,936,100 $ 7,172,589 395,871 523,024 144,124 168,499 $ 9,476,095 $ 7,864,112 $ 5,538,265 $ 4,793,388 816,770 1,252,616 636,611 417,343 276,703 400,794 216,916 27,241-57,359 46,185 28,420 $ 7,531,450 $ 6,977,161 $ 27,241 $ 99,091 ( 4,421) 26,429 194,000 ( 92,484) 96 ( 5,795) $ 216,916 $ 27,241 97,85390,471 707,328625,580 () $ 593,157 $ 550,637 155,979 169,159 ( 53,660) ( 70,673) ( 38,492) ( 40,701) 50,344 17,158 $ 707,328 $ 625,580 98
() $ 5,243,201 $ 4,660,558 1,165,708 1,038,443 6,408,909 5,699,001 2,660,543 2,418,899 9,069,452 8,117,900 ( 4,599,296) ( 4,660,982) 4,470,156 3,456,918 ( 2,580,550) ( 1,746,173) $ 1,889,606 $ 1,710,745 1,889,7301,710,898 () $ 6,726,763 $ 6,269,388 () 1.60% 2.00% 2.75% 2.75% 1.60% 2.00% () $ 4,660,982 $ 4,360,942 344,103 359,606 53,660 70,673 ( 459,449) ( 130,239) $ 4,599,296 $ 4,660,982 99
() 17% $ 1,703,788 $ 1,110,604 ( 181,286) ( 281,545) - ( 49,466) 22,690 9,366 ( 206,854) ( 148,295) 319,178 149,299 249,571 137,294 - ( 13,895) - ( 409,601) 1,907,087 503,761-58,196 ( 67,696) ( 202,746) ( 202,538) 223,916 $ 1,636,853 $ 583,127 () $ 647,950 $ 358,267 174,533 261,678 $ 822,483 $ 619,945 () $ - ($ 409,601) - ( 13,895) 202,538 199,580 $ 202,538 ($ 223,916) () $ 1,175,412 $ 486,218 $ 113,795 $ 201,393 1.12% 3.26%3.79% 100
()10,150,6477,715,207 () 31,628334,3131,080,446 () 1. 100.11.24 144,261,000 100.11.24-100.12.16 2. 76,458 $ 12,616,760 $ 12,616,760 76,458-234 - 1,325 1,325 $ 12,694,777 $ 12,618,085 () 10010000440 57,359 () 101
1. 2. 204,872476,172 $ 1,784,952 $ 1,193,638 $ - $ - 1,388,296 1,000,000 0.32 0.26 4,564,000 5,298,000 1.06 1.40 476,172475,980 4,564,000 456,4001047,671,000 25% 0950000507 102
() ($ 831,642) ($ 2,618,901) ( 3,192,310) 2,445,799 ( 116,587) ( 658,540) ($ 4,140,539) ($ 831,642) $ 5,439,537 $ 5,994,997 ( 650,730) ( 735,771) $ 4,788,807 $ 5,259,226 $ 2,554,175 ($ 1,852,373) ( 70,864) ( 399,246) 2,707 8,022 $ 2,486,018 ($ 2,243,597) $ 5,490,879 $ 5,362,867 2,768,727 2,616,608 820,792 732,245 491,786 470,874 147,616 149,197 88,453 71,217 867 874 $ 9,809,120 $ 9,403,882 $ 755,773 $ 826,302 $ 200,895 $ 181,221 $ 10,022,282 $ 8,385,429 4,767,100 $ 2.10 $ 1.76 $ 6,532,965 $ 5,949,838 4,310,700 $ 1.52 $ 1.38 103
$ 6,532,965 $ 5,949,838 4,767,100 $ 1.37 $ 1.25 () Hua Nan Securities (HK) LimitedHua Nan Securities (HK) Hua Nan Holdings Corp. Hua Nan Asset Management Corp. () 1. $ 728,860 6.44 $ 168,398 5.75 2. $ 23,301 3.66 $ 4,338 1.11 3. $ 8,572,450 $ - $ 2,035 0.2000.800 $ 11,056,085 $ 447,500 $ 14,758 0.1041.350 104
4. $ 23,711,368 $ 1,060 $ 8,390 0.2501.870 $ 8,303,775 $ 5,000 $ 882 0.1050.560 5. $ 20,046,237 0~0.17 $ 2,858 $ 1,111,665 0~0.18 $ 696 539,317 0~1.345 798 337,771 0~1.125 473 130,044 0.13~1.345 869 194,419 0.1~1.13 679 Hua Nan Securities (HK) 118,415 0.17 3 378,659 0.01~1.05 67 Hua Nan Asset Management Corp. 1,115 0.17-1,232 0.01~0.75 112 Hua Nan Holdings Corp. 22,910 0.17~2.03 192 16,144 0.01~0.6 57 402,732 0~1.345 1,264 390,134 0~1.125 919 26,948 0.17~1.265 310 25,822 0~1.125 241 758,230 0.01~1.345 2,273 797,665 0.01~1.125 1,664 92,254 0.17~1.12 277 160,544 0.1~1.005 706 24,499 0~0.88 84 102,347 0~0.66 103 92,905 0.66~0.88 767 94,847 0.435~0.56 490 8,312 0~0.13 95 19,223 0~0.13 30 29,693 0~1.345 261 22,280 0~1.125 172 14,355,256 0~13 106,114 15,738,557 0~13 73,452 $ 36,648,867 $ 116,165 $ 19,391,309 $ 79,861 6. $ 84,317 $ 78,674 7. 40 23,540 23,540 23,540-71 392,634 392,634 392,634-40,000 40,000 40,000-600 - - - 350,000 350,000 350,000-145,000 145,000 145,000-240,000 - - - 59,800 54,500 54,500-31 14,152 13,864 13,864-72 372,542 372,542 372,542-40,000 40,000 40,000-350,000 350,000 350,000-600 600 600-145,000 145,000 145,000-65,000 55,000 55,000-105
8. 600 - - 1% 600 600-1% 9. $ 2,569,550 $ 1,861,039 $ - $ - $ - - - - 70,000 ( 233) $ 3,446,915 $ 2,663,705 $ - $ - $ 2 - - - - ( 267) 10. $43,059 0.79 $39,412 0.66 34,708 0.64 33,292 0.56 20,279 0.37 19,195 0.32 355 0.01 70-209 - 139 - $ 98,610 $ 92,108 11. $ 572,591 10.53 $ 508,900 8.49 12. $ 169,961 3.12 $ 117,250 1.96 13. $ 2,609 0.05 $ 1,882 0.03 14. (1) 3,3152,142 106
(2) 22,08522,989 (3) 4,2024,200 (4) 7,7727,016 (5) 623800 (6) 2,9702,964 (7) 6,6846,774 15. $ 634 0.10 $ 479 0.07 139 0.02 244 0.03 $ 773 $ 723 16. $ 82,540 1.84 $ 77,891 1.95 2,369 0.05 2,048 0.05 $ 84,909 $ 79,939 17. $ 28,933 0.65 $ 35,181 0.88 18. $ 8,190 0.18 $ 6,090 0.15 19. $ 30,529 0.68 $ 22,434 0.56 107
20. 2010.12.312011.03.03 $ 44,798 $ 684 $ 342 21. $ 1,175,412 2.95 $ 486,218 1.44 22. $ 29,611 $ 31,114 24,414 24,604 2,977 3,311 $ 57,002 $ 59,029 23. ()140,61694,000 27,020 $ 495,573 404,592 291,890 216,111 159,969 221,880 1.37%215,689 () 4,4895% 1,122 108
() $ 36,538,490 $ 36,538,490 $ 18,364,347 $ 18,364,347 105,296,645 105,296,645 105,415,812 105,415,812 33,925,915 33,925,915 25,387,124 25,387,124 349,905 349,905 1,773,814 1,773,814 41,664,345 41,664,345 25,355,879 25,355,879 1,308,303,285 1,308,303,285 1,245,812,985 1,245,812,985 65,908,870 65,908,870 61,402,251 61,402,251 288,324,506 288,329,291 304,206,987 304,206,567 271,865 271,865 254,634 254,634 17,342,436 17,454,309 10,044,891 10,044,891 82,357,240 82,357,240 43,638,222 43,638,222 27,790,094 27,790,094 37,659,552 37,659,552 20,719,589 20,719,589 20,125,671 20,125,671 38,287,029 38,287,029 33,177,915 33,177,915 1,617,655,576 1,617,655,576 1,564,252,346 1,564,252,346 33,650,000 34,706,329 31,300,000 31,903,676 9,476,095 9,476,095 7,864,112 7,864,112 () 1. 2. 2.40%3.35% 3. 4. 5. 6. 1.02%3.30% 7. Black-Scholes model 109
8. KONDOR () $ - $ - $ 36,538,490 $ 18,364,347 - - 105,296,645 105,415,812 15,047,324 11,731,156 18,878,591 13,655,968 349,905 1,773,814 - - - - 41,664,345 25,355,879 - - 1,308,303,285 1,245,812,985 4,501,052 46,428,712 21,407,818 14,973,539 6,752,022 3,305,143 281,577,269 300,901,424 - - 271,865 254,634-704 17,454,309 10,044,187 - - 82,357,240 43,638,222 145,647 1,653,772 27,644,447 36,005,780 20,719,589 20,125,671 - - - 38,287,029 33,177,915 - - 1,617,655,576 1,564,252,346 - - 34,706,329 31,903,676 144,124 168,499 9,331,971 7,695,613 $ 224,166 $ 224,166 $ - $ - 612,047-612,047-15,839,426-15,839,426-14,109,911 713,571 $ 13,396,340-8,854,316 8,854,316 - - 47,532,011 4,427,688 43,104,323-9,522,543 678,237 8,844,306-13,258,887-13,258,887-26,349,652-26,349,652-3,140,365 84,317 3,056,048-1,440,442-1,440,442-144,124-144,124-110
1 2 345 (1) (2) (3) 3 (1) (2) (3) (4) 4 () 2,552,356(1,823,470) () 359,025,202 40,900,00028,925,56217,900,000 359,438,588 41,030,00024,782,54322,890,000 () 30,108,41310,525,331 25,181,1438,028,648 () 1. (1) Market Risk Factors (2) (3) A. B. Value at RiskMarket Risk Factor Sensitivities C. Foreign Exchange Rate Factor Sensitivities, FX Delta 1% 111
D. Interest Rate Factor Sensitivities, DV01PVBP 0.01%1 E. 1 $ 11,388 1,864 880 368 ( 1) 28 2. 61.92% 1,412,679,4701,326,453,732 13,613,7928,983,432 112
$ 14,847,312 $ 14,378,855 $ 11,651,181 $ 10,790,777 1,167,705 1,167,705 950,003 950,003 1,068,527 1,068,527 337,541 337,541 992,114 - - - 628,163 628,163 1,342,243 1,342,243 344,273 344,273 1,205,040 1,205,040 267,774 267,774 281,817 281,817 224,166-146,101-105,681 105,681 290,104 290,104 85,972 85,972 119,331 119,331 84,317-80,331-19,816,004 18,046,950 16,403,692 15,316,856 7,863,523 7,863,523 4,899,603 4,899,603 5,750,269 5,750,269 4,083,829 4,083,829 496,119 - - - 14,109,911 13,613,792 8,983,432 8,983,432 27,707,478 27,707,478 $ 25,130,624 25,130,624 11,121,418-13,861,078-8,854,316-8,957,306-8,703,115 8,703,115 6,242,904 6,242,904 8,692,931-6,467,011-678,237-654,872-151,375 151,375 88,456 88,456 65,908,870 36,561,968 61,402,251 31,461,984 279,300,000-297,315,000-3,257,951-3,010,562-3,111,689 3,111,689 2,358,425 2,358,425 2,654,866 2,654,866 1,523,000 1,523,000 288,324,506 5,766,555 304,206,987 3,881,425 13,147,014 13,147,014 5,776,308 5,776,308 3,964,351 3,964,351 3,970,089 3,970,089 162,562 162,562 161,148 161,148 145,265 145,265 255,682 255,682 21,307 21,307 28,592 28,592 - - 704 704 17,440,499 17,440,499 10,192,523 10,192,523 272,950,022 272,950,022 285,711,097 285,711,097 143,587,336 143,587,336 139,556,691 139,556,691 200,605,228 200,605,228 193,172,173 193,172,173 122,689,630 122,689,630 116,354,001 116,354,001 19,220,785 19,220,785 19,094,963 19,094,963 546,059,692 546,059,692 482,689,174 482,689,174 9,232,450 9,232,450 10,175,391 10,175,391 480,325 480,325 421,195 421,195 6,424,238 6,424,238 9,442,827 9,442,827 1,321,249,706 1,321,249,706 1,256,617,512 1,256,617,512 $ 1,726,849,496 $ 1,412,679,470 $ 1,657,806,397 $ 1,326,453,732 113
10% 10% $ 585,527,189 $ 585,527,189 $ 589,006,568 $ 589,006,568 492,847,085 492,847,085 437,393,690 437,393,690 47,767,614-78,228,895 - $ 1,126,141,888 $ 1,078,374,274 $ 1,104,629,153 $ 1,026,400,258 $ 72,415,687 $ 78,659,532 78,076,207 74,377,789 133,019,813 122,659,187 3. 114
$ 36,538 $ - $ - $ - $ - $ - $ 36,538 29,087 7,522 144 68,544 - - 105,297 19,796 336 306 410 1,378 11,700 33,926 350 - - - - - 350 164,777 147,148 124,723 65,482 64,636 748,059 1,314,825 1,272 1,462 10,519 7,222 17,388 28,046 65,909 131,500 89,000 27,323 32,539 2,187 5,776 288,325-21 100 280 3,964 12,930 17,295 $ 383,320 $ 245,489 $ 163,115 $ 174,477 $ 89,553 $ 806,511 $ 1,862,465 $ 51,263 $ 26,124 $ 2,507 $ 2,463 $ - $ - $ 82,357 4,090 3,028 20 33 58 20,561 27,790 14,279 4,561 1,828 52 - - 20,720 181,204 185,879 158,133 267,935 108,280 715,259 1,616,690 - - - - 7,000 26,650 33,650 6,242-1,683 1,000 424 127 9,476 $ 257,078 $ 219,592 $ 164,171 $ 271,483 $ 115,762 $ 762,597 $ 1,790,683 $ 126,242 $ 25,897 ($ 1,056) ($ 97,006) ($ 26,209) $ 43,914 $ 71,782 $ 18,364 $ - $ - $ - $ - $ - $ 18,364 27,799 17,776 59,841 - - - 105,416 20,747 458 339 1,410 1,513 920 25,387 1,152 622 - - - - 1,774 171,549 142,721 138,814 75,925 59,856 658,310 1,247,175 568 2,632 5,339 15,988 11,480 25,395 61,402 181,915 66,000 13,020 36,535 1,575 5,162 304,207 29 - - - 380 9,528 9,937 $ 422,123 $ 230,209 $ 217,353 $ 129,858 $ 74,804 $ 699,315 $ 1,773,662 $ 36,858 $ 3,556 $ 318 $ 2,906 $ - $ - $ 43,638 4,710 6,494 1,044 59 6,341 19,012 37,660 16,027 2,289 243 1,567 - - 20,126 189,272 169,792 147,349 246,793 66,065 743,701 1,562,972-250 - 2,400-28,650 31,300 553-6 405 1,524 5,376 7,864 $ 247,420 $ 182,381 $ 148,960 $ 254,130 $ 73,930 $ 796,739 $ 1,703,560 $ 174,703 $ 47,828 $ 68,393 ($ 124,272) $ 874 ($ 97,424) $ 70,102 115
4. $ 10,451 $ - $ - $ - $ - $ - $ 10,451 20,738 15,872 144 43,470 - - 80,224 10,764 10,930 4,593 1,506 122 5,702 33,617 350 - - - - - 350 849,022 291,610 87,396 30,283 24,434 32,080 1,314,825 8,200 15,235 10,165 2,660 3,595 16,522 56,377 132,260 89,303 27,682 32,345 1,112 5,623 288,325 21-100 280-12,767 13,168 $ 1,031,806 $ 422,950 $ 130,080 $ 110,544 $ 29,263 $ 72,694 $ 1,797,337 $ 51,101 $ 22,880 $ 2,210 $ - $ - $ - $ 76,191 4,733 3,525 - - - 19,532 27,790 14,279 4,561 1,828 52 - - 20,720 1,320,851 83,282 53,655 85,496 2,971 14,225 1,560,480-17,900 - - - 15,750 33,650 5,907 489 1,680 1,000 400-9,476 $ 1,396,871 $ 132,637 $ 59,373 $ 86,548 $ 3,371 $ 49,507 $ 1,728,307 ($ 365,065) $ 290,313 $ 70,707 $ 23,996 $ 25,892 $ 23,187 $ 69,030 116
$ 2,145 $ - $ - $ - $ - $ - $ 2,145 25,214 20,361 79 42,148 - - 87,802 9,351 10,375 4,122 210 171 933 25,162 1,152 622 - - - - 1,774 793,389 287,960 81,048 51,129 12,506 21,143 1,247,175 10,463 11,885 4,184 6,000 15,956 3,302 51,790 179,710 68,500 13,294 36,535-6,168 304,207 29 - - - - 5,776 5,805 $ 1,021,453 $ 399,703 $ 102,727 $ 136,022 $ 28,633 $ 37,322 $ 1,725,860 $ 36,893 $ 637 $ - $ - $ - $ - $ 37,530 4,722 6,499 1,061 57 6,324 18,997 37,660 16,027 2,289 243 1,567 - - 20,126 1,308,934 69,645 50,825 80,021 4,193 699 1,514,317-18,150-2,400-10,750 31,300 7,676 37 17 5-129 7,864 $ 1,374,252 $ 97,257 $ 52,146 $ 84,050 $ 10,517 $ 30,575 $ 1,648,797 ($ 352,799) $ 302,446 $ 50,581 $ 51,972 $ 18,116 $ 6,747 $ 77,063 () $ 6,418,826 $ - - 6,418,826 $ 6,418,826 $ 6,418,826 $ 3,794,747 $ 3,794,747 $ 5,451,123 $ 5,451,123 $ - ($ 1,656,376) $ - $ 1,454,118 117
($ 144,124) ($ 167,795) 1 2 3 1,655,526 337,395,281 0.49% 1,655,526 100.00% 3,204,051 488,434,169 0.66% 9,638,495 300.82% 4 939,326 430,052,783 0.22% 939,326 100.00% 316 390,279 0.08% 128,157 40,556.01% (5) 135,328 8,775,671 1.54% 370,608 273.86% 6 174,895 47,618,503 0.37% 174,895 100.00% 124,955 8,583,020 1.46% 255,108 204.16% 6,234,397 1,321,249,706 0.47% 13,162,115 211.12% 1,250 2,556,728 0.05% 82,000 6,560.00% 7-23,590,617-123,200-1 2 3 2,732,738 320,556,383 0.85% 2,732,738 100.00% 4,664,619 495,382,766 0.94% 5,404,633 115.86% 4 1,590,497 373,701,559 0.43% 1,590,497 100.00% 1,945 671,341 0.29% 53,000 2,724.94% (5) 212,230 7,113,059 2.98% 245,282 115.57% 534,019 49,202,458 1.09% 534,019 100.00% 6 215,681 9,989,946 2.16% 244,358 113.30% 9,951,729 1,256,617,512 0.79% 10,804,527 108.57% 8,532 2,186,565 0.39% 12,521 146.75% 7-7,243,402 - - - 1 ()0944000378 2 3 4 5 ()09440010950 6 7 ()094000494 118
1 81,214 70,492 114,379 94,511 2 53,841 51,345 64,542 48,686 135,055 121,837 178,921 143,197 1 ()09510001270 2 ()09700318940 ( 1) (2) (3) () (2) (3) () 1 A 30,398,030 31.80 A 26,929,310 29.92 2 B 16,553,260 17.32 B 13,817,440 15.35 3 C 12,619,620 13.20 C 13,616,530 15.13 4 D 8,956,860 9.37 D 8,515,650 9.46 5 E 8,409,840 8.80 E 8,484,530 9.43 6 F 8,303,040 8.69 F 7,473,310 8.30 7 G 7,581,320 7.93 G 7,369,070 8.19 8 H 7,552,000 7.90 H 7,266,110 8.07 9 I 6,825,690 7.14 I 6,431,680 7.15 10 J 6,736,780 7.05 J 6,395,350 7.11 1 A 2 3 10010006830 119
190() 91180() 1811() 1 1,251,600,724 96,925,770 111,228,325 114,410,517 1,574,165,336 1,317,699,242 51,040,247 79,942,763 43,514,270 1,492,196,522 ( 66,098,518) 45,885,523 31,285,562 70,896,247 81,968,814 94,187,591 105.49% 87.03% 190() 91180() 1811() 1 9,466,175 1,523,236 248,811 189,372 11,427,594 10,340,210 806,530 461,698 389,719 11,998,157 ( 874,035) 716,706 ( 212,887) ( 200,347) ( 570,563) 41,419 95.24% ( 1,377.54% ) 0.53 0.36 0.44 0.33 10.80 7.54 9.04 6.87 27.92 21.64 130 3190 91180 1811 1 1,659,230,843 349,778,684 217,537,794 147,993,979 122,277,232 821,643,154 2,258,211,838 228,217,881 248,627,710 260,400,951 485,771,137 1,035,194,159 ( 598,980,995 ) 121,560,803 ( 31,089,916 ) ( 112,406,972 ) ( 363,493,905 ) ( 213,551,005 ) 120
130 3190 91180 1811 1 9,330,270 3,976,603 2,581,943 1,416,909 273,334 1,081,481 9,451,698 4,322,166 1,821,452 770,958 711,150 1,825,972 ( 121,428 ) ( 345,563 ) 760,491 645,951 ( 437,816 ) ( 744,491 ) $ 84,830,066 $ 78,177,031 43,577,395 40,865,869-250,000 128,407,461 119,292,900 1,084,249,685 983,033,011 - - 225,469 2,498,604 - - 42,084,700 45,925,350 - - 5,736,407 4,933,418 - - 1,132,296,261 1,036,390,383 11.34 11.51 7.49 7.54 3.85 3.95-0.02 2.46 2.35 4.51 4.34 $ 4,227,228 $ 8,238,796 $ 203 $ 203 2,418,591 3,713,371 160,902,803 168,233,338 13,011,431 14,250,292 174,964,513 175,105,894 183,370,747 191,244,301 4,714,071 5,658,555 12,182,791 13,517,339 2,095,931 4,425,697 5,571,187 6,633,636 160,902,803 168,233,338 1,561,937 2,248,999 1,561,937 2,248,999 ( 1,833,371) ( 2,014,976) 2,140,208 2,012,102 $ 363,896,505 $ 381,874,942 $ 363,896,505 $ 381,874,942 1,291,109 1,241,540 121
$ 4,227,228 $ 8,238,796 2,418,591 3,713,371 13,011,431 14,250,292 174,964,513 175,105,894 2,095,931 4,425,697 4,637,321 5,548,335 16,437 14,982 60,313 95,238 160,902,803 168,233,338 1,561,937 2,248,999 $ 363,896,505 $ 381,874,942 $ 66,072 $ 60,214 783 835 6,854 4,430 585,238 574,139 9,156 12,138 1,504,184 1,402,605 5,352 9,617 7,877 2,678 923 1,233 2,186,439 2,067,889 30,046 32,786 365 362 73 62 3 3 4,371 10,204 2 2 2,487 1,340 1,040 834 4,475 4,079 3,369 1,164-4,951 46,231 55,787 $ 2,140,208 $ 2,012,102 122
() $ 7,673,945 1.40 121,217,040 1.53 71,100,457 0.28 27,920,344 2.12 235,081 0.51 10,646,929 1.77 1,283,115,990 1.93 66,728,268 1.61 266,649,581 0.89 8,731,553 1.19 592,376 15.57 136,399,005 1.22 32,899,139 0.95 27,628,231 2.55 21,689,560 0.50 396,613,236 0.11 281,528,995 0.84 830,928,179 0.74 4,277,418 0.30 31,341,644 1.69 8,030,152 1.32 $ 2,921,214 0.11 176,936,068 1.05 67,654,842 0.22 25,979,269 1.59 4,167,337 0.24 10,411,029 1.64 1,128,980,141 1.80 61,937,113 1.76 310,841,130 0.67 3,169,725 1.28 610,243 17.63 141,550,231 0.85 24,532,181 0.58 38,283,160 2.55 18,151,966 0.22 361,773,861 0.08 288,726,034 0.66 793,932,912 0.63 5,503,930 0.16 26,820,548 1.57 8,027,461 1.13 123
() SEC Danny PangPrivate Equity Management Group, Inc.Private Equity Management Group LLCPEMPEM GVEC Resource II Inc.SEC ReceiverGVEC Resource II Inc. 205,800 PEM PEM 39,469PEM3,541,455 124
() $ 323,647 30.7450 $ 9,950,541 $ 270,340 30.0281 $ 8,117,812 36,808 29.6700 1,092,082 38,174 29.5118 1,126,581 1,412,749 4.7970 6,776,958 369,923 4.4664 1,652,226 314,341 39.2200 12,328,446 346,172 39.2468 13,586,146 38,107 46.6800 1,778,852 44,259 45.5510 2,016,045 3,672,109 3.8970 14,310,208 2,880,127 3.7900 10,915,683 35,473,847 0.3897 13,824,158 37,508,587 0.3622 13,585,610 95,679 23.4100 2,239,834 154,367 22.7593 3,513,285 65,573 23.3000 1,527,841 45,148 22.8718 1,032,621 7,898,618 30.2750 239,130,673 6,534,709 29.5000 192,773,917 607,892,889 0.0015 883,572 403,976,060 0.0016 629,471 1,207,008 3.7100 4,477,998 887,352 4.4426 3,942,152 19,544 30.2750 591,699 42,890 29.5000 1,265,244 391,359 30.7450 12,032,336 268,520 30.0281 8,063,150 37,109 29.6700 1,101,023 39,857 29.5118 1,176,257 1,372,949 4.7970 6,586,035 349,473 4.4664 1,560,887 365,886 39.2200 14,350,061 346,258 39.2468 13,589,506 74,208 46.6800 3,464,023 56,115 45.5510 2,556,106 3,474,048 3.8970 13,538,367 2,805,502 3.7900 10,632,854 33,119,078 0.3897 12,906,505 36,061,012 0.3622 13,061,298 95,000 23.4100 2,223,959 150,408 22.7593 3,423,192 20,856 23.3000 485,949 33,196 22.8718 759,248 9,559,367 30.2750 289,409,825 7,847,606 29.5000 231,504,372 639,909,781 0.0015 930,196 405,080,483 0.0016 631,192 1,312,793 3.7100 4,870,463 879,813 4.4426 3,908,658 39,465 30.2750 1,194,805 51,768 29.5000 1,527,162 IFRSs () IFRSs 125
1. 9879912 IFRSs / (IFRS 1) 2. 100110012 99 10011 IFRSs 3. 101110112 IFRSs101102 IFRSs () IFRSs 1. 2. 28 () IFRSs IFRSsIFRSs () 1 10% 2 10% 3 10% 4 5 10% 6 7 8 126
() 1 2 3 4 5 10% 6 10% 7 10% 8 9 10% 10 11 12 () OBU () OBU $ 16,047,974 $ 443,837 $ 912,522 $ 15,559 $ 2,154,738 $ 19,574,630 3,110,353 284,172 46,390 862,149 485,743 4,788,807 4,106,204 943,748 488,312 ( 184) 132,981 5,671,061 23,264,531 1,671,757 1,447,224 877,524 2,773,462 30,034,498 ( 4,299,055) - - - ( 461,776) ( 4,760,831) ( 14,252,036) ( 237,143) ( 153,019) ( 124,487) ( 484,700) ( 15,251,385) $ 4,713,440 $ 1,434,614 $ 1,294,205 $ 753,037 $ 1,826,986 $ 10,022,282 $ - $ - $ - $ - $ - $ - OBU $ 13,989,600 $ 327,706 $ 876,592 $ 15,462 $ 1,670,716 $ 16,880,076 3,319,077 312,544 48,696 917,345 661,564 5,259,226 2,990,735 520,770 1,156,017 73 684,758 5,352,353 20,299,412 1,161,020 2,081,305 932,880 3,017,038 27,491,655 ( 5,447,198) - - - ( 1,112,053) ( 6,559,251) ( 13,428,076) ( 238,112) ( 149,269) ( 131,524) ( 452,458) ( 14,399,439) $ 1,424,138 $ 922,908 $ 1,932,036 $ 801,356 $ 1,452,527 $ 6,532,965 $ - $ - $ - $ - $ - $ - 127
() $ 28,161,104 $ 25,467,598 1,873,394 2,024,057 $ 30,034,498 $ 27,491,655 () 10% 39615 18810 2 38 4 3242 534 79 68 4008 1265 1256 81 7115 213 10014 10213 858711 12 30010 2082 8511 8711 30.00 $ 85,359 ($ 3,239) 7,670,160-7,670,160 30.00% 100.00 186,506 90,819 4,994,000-4,994,000 100.00% 0.90 1,002,009-60,946,398-60,946,398 0.90% - 4.59 466,161-16,074,512-16,074,512 4.59% - 0.45 1,184,504-148,281,465-148,281,465 0.45% - - - - 167-167 - - 3.00 72,000-17,946,713-17,946,713 3.00% - 0.14 28,029-11,120,138-11,120,138 0.14% - 3.53 7,000-700,000-700,000 3.53% - 5.00 1,250-125,000-125,000 5.00% - 4.95 500,000-54,000,000-54,000,000 4.95% - 1.15 46,358-5,191,875-5,191,875 1.15% - 5.00 15,000-1,500,000-1,500,000 5.00% - 4.44 32,512-3,251,250-3,251,250 4.44% - 1.00 20,000-5,346,146-5,346,146 1.97% - 11.35 2,000,000-200,000,000-200,000,000 11.35% - 2.94 50,000-5,000,000-5,000,000 2.94% - 2.30 7,000-792,027-792,027 2.30% - 1.16 698-69,740-69,740 1.16% - 128
$ 11,171 100.03.10 Barclays Bank $ - $ 16,564 $ 16,564 100.05.12 Bank of America - 58,890 58,890 295,294295,294 89-7 7,500 $ 8,090 - $ 10,159 $ 1,371,884 (USD 45,247) $ 1,371,884 () (USD 45,247) $ - $ - $ 1,371,884 (USD 45,247) 100% $ 36,399 (USD 1,202) $ 1,406,246 (USD 46,449) $ - $ 1,371,884 (USD 45,247) $ 1,371,884 (USD 45,247) $ 57,349,944 991011209900349890300,000USD 45,247 129
11000 $ 36,548,524 $ 18,364,347 99 11500 105,296,645 105,415,812-12000 33,925,915 25,387,124 34 12500 349,905 1,773,814 ( 80) 13000 44,211,960 28,255,524 56 13500 1,308,303,285 1,245,812,985 5 14000 65,908,870 61,402,251 7 14500 288,324,506 304,206,987 ( 5) 15000 85,359 88,598 ( 4) 15500 17,342,436 10,044,891 73 18500 28,014,950 25,914,490 8 19000 446,994 559,868 ( 20) 19500 7,543,296 9,974,764 ( 24) 10000 $ 1,936,302,645 $ 1,837,201,455 5 21000 $ 82,357,240 $ 43,638,222 89 22000 27,790,094 37,659,552 ( 26) 22500 20,649,589 20,125,671 3 23000 39,849,021 33,857,551 18 23500 1,617,525,532 1,564,057,927 3 24000 33,650,000 31,300,000 8 25000 1,890,305 1,711,710 10 25500 9,476,095 7,864,112 20 29500 7,531,529 6,977,161 8 20000 1,840,719,405 1,747,191,906 5 31001 47,671,000 43,107,000 11 31500 12,694,777 12,618,085 1 32001 20,027,746 18,242,794 10 32003 889,001 2,618,901 ( 66) 32011 10,150,647 7,715,207 32 32000 31,067,394 28,576,902 9 32501 8,342,497 6,683,357 25 32521 ( 51,889) ( 144,153) - 32523 () ( 4,140,539) ( 831,642) - 32500 4,150,069 5,707,562 ( 27) 30000 95,583,240 90,009,549 6 $ 1,936,302,645 $ 1,837,201,455 5 130
41000 $ 31,514,400 $ 26,604,743 18 51000 ( 11,938,261) ( 9,723,596) 23 19,576,139 16,881,147 16 49100 4,953,601 5,269,832 ( 6) 49200 () 2,486,018 ( 2,243,597) - 49300 341,195 887,522 ( 62) 49500 ( 3,239) ( 1,554) - 49600 () ( 1,045,164) 3,852,029 ( 127) 49700 680 15,640 ( 96) 49805 218,963 393,693 ( 44) 48095 3,026,579 2,006,846 51 49899 581,947 516,161 13 10,560,580 10,696,572 ( 1) 30,136,719 27,577,719 9 51500 ( 4,760,831) ( 6,559,251) ( 27) 58500 ( 9,855,362) ( 9,453,524) 4 59000 ( 958,187) ( 1,007,672) ( 5) 59500 ( 4,521,408) ( 4,007,837) 13 ( 15,334,957) ( 14,469,033) 6 61001 10,040,931 6,549,435 53 61003 ( 1,655,502) ( 599,597) 176 69000 $ 8,385,429 $ 5,949,838 41 69500 $ 2.11 $ 1.76 $ 1.37 $ 1.25 131
$ 37,809,000 $ 12,616,760 $ 1,325 $ 12,618,085 - - - - - - - - - - - - 5,298,000 - - - - - - - - - - - - - - - - - - - 43,107,000 12,616,760 1,325 12,618,085 - - - - - - - - - - - - - 4,564,000 - - - - - - - - - - - - 76,692-76.692 - - - - - - - - - - - - $ 47,671,000 $ 12,693,452 $ 1,325 $ 12,694,777 476,172475,980 132
$ 17,049,156 $ 6,131,638 $ 5,744,270 $ 28,925,064 $ 6,687,437 ($ 125,787) ($ 2,618,901) $ 83,294,898 1,193,638 - ( 1,193,638) - - - - - - ( 3,512,737) 3,512,737 - - - - - - - ( 1,000,000) ( 1,000,000) - - - ( 1,000,000) - - ( 5,298,000) ( 5,298,000) - - - - - - 5,949,838 5,949,838 - - - 5,949,838 - - - - ( 4,080) - - ( 4,080) - - - - - - 1,787,259 1,787,259 - - - - - ( 18,366) - ( 18,366) 18,242,794 2,618,901 7,715,207 28,576,902 6,683,357 ( 144,153) ( 831,642) 90,009,549 1,784,952 - ( 1,784,952) - - - - - - ( 1,787,259) 1,787,259 - - - - - - - ( 1,388,296) ( 1,388,296) - - - ( 1,388,296) - - ( 4,564,000) ( 4,564,000) - - - - - 8,385,429 8,385,429 - - - 8,385,429-57,359-57,359 - - - 57,359 - - - - - - - 76,692 - - - - 1,659,140 - - 1,659,140 - - - - - - ( 3,308,897) ( 3,308,897) - - - - - 92,264-92,264 $ 20,027,746 $ 889,001 $ 10,150,647 $ 31,067,394 $ 8,342,497 ($ 51,889) ($ 4,140,539) $ 95,583,240 133
8,385,429 $ 5,949,838 982,004 1,031,959 4,760,831 6,559,251 76,692 - - 19,490 ( 2,554,175) 1,852,373 ( 680) ( 15,640) 3,239 1,554 238 3,064 - ( 10,618) 178,595 220,897 ( 202,078) 223,537 ( 8,225,858) 1,910,559 ( 7,628,216) ( 7,195,292) ( 16,007,562) ( 1,426,413) 5,991,872 ( 2,368,269) 909,773 ( 339,627) ( 13,329,896) 6,416,663 119,167 53,188,158 1,423,909 2,161,790 ( 66,971,285) ( 144,711,830) ( 7,815,516) 10,492,966 1,469,495,458 2,101,438,742 ( 1,453,612,977) ( 2,082,677,258) ( 7,370,706) ( 2,897,376) ( 511,956) ( 514,222) ( 494) ( 1,569) - 10,673-5,834 ( 83,521) ( 171,929) ( 4,576) ( 83,008) 1,756,767 ( 2,729,956) ( 63,575,730) ( 66,488,985) 134
$ 38,719,018 ($ 4,983,092) 53,467,605 57,975,766 523,918 1,937,323 5,000,000 5,000,000 ( 2,650,000) - 1,611,983 678,129 ( 322,825) 249,667 ( 1,388,698) ( 1,000,446) 94,961,001 59,857,347 128,802 ( 267,818) 18,184,177 ( 482,793) 18,364,347 18,847,140 $ 36,548,524 $ 18,364,647 $ 11,639,485 $ 9,818,550 $ 630,493 $ 384,893 $ - $ 1,006,594 $ 46,089 $ 25,187 $ 10,280 $ 93,423 $ - $ 2,243,733 135
1001231 991231 () ()() 141,835,135 123,780,159 18,054,976 14.59% 33,925,915 25,387,124 8,538,791 33.63% 349,905 1,773,814 ( 1,423,909) ( 80.27%) 44,213,290 28,254,316 15,958,974 56.48% 1,308,303,285 1,245,812,985 62,490,300 5.02% 65,908,870 61,402,251 4,506,619 7.34% 288,324,506 304,206,987 ( 15,882,481) ( 5.22%) 271,865 254,634 17,231 6.77% 17,342,436 10,044,891 7,297,545 72.65% 28,011,623 25,914,017 2,097,606 8.09% 446,994 559,868 ( 112,874) ( 20.16%) 7,528,347 9,965,998 ( 2,437,651) ( 24.46%) 1,936,462,171 1,837,357,044 99,105,127 5.39% 82,357,240 43,638,222 38,719,018 88.73% 27,790,094 37,659,552 ( 9,869,458) ( 26.21%) 20,719,589 20,125,671 593,918 2.95% 39,809,157 33,819,533 5,989,624 17.71% 1,617,655,576 1,564,252,346 53,403,230 3.41% 33,650,000 31,300,000 2,350,000 7.51% 1,889,730 1,710,898 178,832 10.45% 9,476,095 7,864,112 1,611,983 20.50% 7,531,450 6,977,161 554,289 7.94% 1,840,878,931 1,747,347,495 93,531,436 5.35% 47,671,000 43,107,000 4,564,000 10.59% 12,694,777 12,618,085 76,692 0.61% 31,067,394 28,576,902 2,490,492 8.72% 8,342,497 6,683,357 1,659,140 24.82% ( 51,889) ( 144,153) 92,264 64.00% ( 4,140,539) ( 831,642) ( 3,308,897) ( 397.88%) 95,583,240 90,009,549 5,573,691 6.19% 1. 2. 3. 4. 5. 6. 136
100 99 () ()() 19,574,630 16,880,076 2,694,554 15.96% 10,459,868 10,611,579 ( 151,711) ( 1.43%) 4,760,831 6,559,251 ( 1,798,420) ( 27.42%) 15,251,385 14,399,439 851,946 5.92% 10,022,282 6,532,965 3,489,317 53.41% 1,636,853 583,127 1,053,726 180.70% 8,385,429 5,949,838 2,435,591 40.94% - - - - 8,385,429 5,949,838 2,435,591 40.94% 1.10099 2.10099 1. 100 99 () ( 8.14%) 5.00% ( 262.92%) 377.39% 502.19% ( 24.85%) 21.01% ( 9.56%) 319.73% 100 2. (1) (2) (3) () (1)+(2)+(3) 36,538,490 8,522,317 ( 7,404,320) 37,656,487 - - 1. 98 99 100 101 102 101.12 600,000 - - - 600,000-101.12 3,400,000 50,549 118,841 141,705 3,088,905-2. (1) (2) 137
138 100 28,896 1. 100 1. 2. 3. 1. 2. 3.
1001231 420,572,138 39,681 113,621,125 3,230,652 99,751,641 3,178,085 685,307,491 49,231,668 167,601,982 9,345,662 407,329,009 17,112,763 7,303,986 2,060,689 31,759,697 2,540,776 1,933,247,069 86,739,975 100 () 1001231 10012 31 ( ) ( ) () 355,326 18,038 355,326 18,038 1. 2.(REITs) 139
100 12 31 (1) ABCP 188,226-2,516 185,710 (CMBS) 225,515-55,899 169,616 1: : (MBS):(RMBS)(CMBS)(CMO) ABS:(CLO)(CBO) / (ABCP) (CDO) :(REAT) (SIV) 2: ()3 (2) (3) ( 4) (5) 1 2 3 4(attachment point)(cdo)a ABBBBBB12%A12% 5() (): :() (): () : 140
: (1) (2) 1:; 2:; 3:() 2. 100 1. 2. 1. 2. 3. 1. AMA- 2. 97SA 141
10012 31 98 22,971,034 99 24,293,040 100 25,944,479 3,366,776 73,208,553 3. 100 1. 2. ( ) 1. 2. 1. 2. 3. 4. 1. 2. 142
1001231 304,813 35,343 118,757 0 0 458,913 4. 100 1. 2. 3. / 4. // (1) 1001231 130 3190 91180 1811 1 1,659,230,843 349,778,684 217,537,794 147,993,979 122,277,232 821,643,154 2,258,211,838 228,217,881 248,627,710 260,400,951 485,771,137 1,035,194,159-598,980,995 121,560,803-31,089,916-112,406,972-363,493,905-213,551,005 143
(2) 1001231 130 3190 91180 1811 1 9,330,270 3,976,603 2,581,943 1,416,909 273,334 1,081,481 9,451,698 4,322,166 1,821,452 770,958 711,150 1,825,972-121,428-345,563 760,491 645,951-437,816-744,491-121,428-345,563 414,928 1,060,879 623,063-121,428 1 () (IFRS) 102 () ()()() () 1. 2. 2012 5P () () () 1. 144
(SOP) 2. () 1. 10034.67%65.33% 3,911 2. 100 42.5%32.3%15.1%10.1% 3. 10015 48 4. () () () () 1. 2. 3. () 145
1. 10012261001231 146
2. () 90.12.19 138 82,143,144 77.06.17 454443 41257379 8,111,743 52.04.26 45605 2,001,386 81.09.29 45431 308,399 93.01.28 21433 2,000,000 93.02.05 21433 10,000 94.05.10 1184 1,000,000 90.01.31 518810 49,940 3. () ( ) 811,174,346 100.00% 90.12.19 200,138,625 100.00% 90.12.19 30,839,927 100.00% 90.12.19 200,000,000 100.00% 90.12.19 1,000,000 100.00% 90.12.19 100,000,000 100.00% 90.12.19 138 82,143,144 138 82,143,144 138 82,143,144 138 82,143,144 138 82,143,144 138 82,143,144 4. () 811,174,346 100.00% 147
148 () 200,138,625 100.00% 30,839,927 100.00% 200,000,000 100.00% 1,000,000 100.00% 100,000,000 100.00% 4,994,000 100.00%
5. ( ) ()() 8,111,747 20,017,637 8,871,046 11,146,591 2,843,056 94,653 75,267 0.09 2,001,386 12,454,280 9,848,786 2,605,494 4,280,952 510,179 410,414 2.05 308,399 953,112 466,670 486,442 245,109 68,386 52,218 2.18 2,000,000 1,899,263 159 1,899,104 59,598 23,920 117 0.001 10,000 31,049 8,857 22,192 32,143 10,893 9,855 9.85 1,000,000 3,463,009 2,373,388 1,089,621 202,235 73,590 77,563 0.71 1: 2: 49,940 228,823 42,317 186,506 939,998 107,951 90,819 18.19 () 1. () 4,767,100,000 100.00% 0 16 2.: 1 () 2 386~9 100.10.01 103.09.30 1 2 7,772 3.: 1,175,412 149
() 150
151
1001231 10006 38 02-23713111 051 10006 38 02-23713111 055 10006 38 02-23713111 056 10006 38 02-23713111 057 10006 38 02-23713111 058 10442 183F 02-66181539 059 10044 33 02-23718333 060 10006 38 02-23713111 061 10044 33 02-23718333 062 10006 38 02-23713111 065 10076 15 02-23328111 066 10076 15 02-23328111 069 10044 33 02-23718333 070 10006 38 02-23713111 071 10442 183F 02-66181539 074 10044 33 02-23718333 075 10006 38 02-23713111 076 10491 2037F 02-87723112 078 10491 2036F 02-25318660 079 10441 5322 02-25431515 085 10044 33 02-23718333 088 10006 38 02-23713111 089 10006 38 02-23713111 090 10442 185F 02-21810101 092 10449 11627F 02-25677758 093 10449 11628F 02-25677758 094 40041 1744F 04-22291336 095 80344 17810F 07-5213618 096 10449 11629F 02-25677758 097 10449 11621F 02-25677758 098 40041 1744F 04-22291336 099 80344 17810F 07-5213618 1 100 10006 38 02-23713111 2 101 10489 160 02-25076131 3 102 10006 38 02-23713111 4 103 10045 93 02-23818780 152
5 104 10344 96 02-25556280 6 105 10355 228 02-25563110 7 106 10442 18 02-25611121 8 107 10449 112 02-25619588 9 108 10449 146 02-25512111 10 109 10846 173 02-23149978 11 110 11066 293 02-27695957 12 111 10685 25 02-27722090 13 112 10488 217 02-27155111 14 113 10059 48 02-23934211 15 114 10372 276 02-25917767 16 115 10566 654 02-27652132 17 116 10554 145 02-25780377 18 117 10093 11 02-23217111 19 118 10089 216 02-23622141 20 119 10064 183 02-23943141 21 120 10686 212 02-27733577 22 121 10664 93 02-27002405 23 122 10879 127 02-23071122 24 123 11168 246 02-28819500 25 124 10553 50 02-25794141 26 125 10695 458 02-27039851 27 126 10574 54 02-27155011 28 127 10544 337 02-27171781 29 128 10480 180 02-25045341 30 129 11082 800 02-27593111 31 130 10683 2 02-27557467 32 131 10666 137 02-27774552 33 132 10462 56 02-85020818 34 133 10682 107 02-27010900 35 134 11490 456 02-26315550 36 136 10569 5239 02-25289567 37 137 11503 3210 02-26558788 38 143 11494 130 02-27968288 39 145 10491 205 02-87722778 40 147 10654 247 02-27727211 153
41 148 10065 59 02-23822078 42 149 10683 62 02-27015123 43 152 11271 78 02-28223822 44 153 10573 145 02-27641407 45 154 10617 1 02-23631478 46 156 11052 458 02-27581392 47 157 10843 149 02-23812922 48 158 11510 52 02-27885966 49 178 11268 13 02-28934166 50 179 11493 392 02-27977189 51 189 11148 109 02-28380777 52 190 11457 157 02-27961266 53 195 11641 52 02-22360288 54 151 22069 37 02-29646911 55 159 22041 80 02-22512581 56 160 22063 73 02-29511101 57 161 24147 51 02-29824101 58 162 24146 1 02-29880011 59 163 24243 100 02-29944761 60 164 23444 147 02-29214111 61 165 23558 257 02-22495555 62 166 23143 108 02-29136661 63 167 25158 28 02-26219680 64 168 22166 101 02-26416411 65 169 23455 220 02-89423288 66 170 24153 237 02-28575211 67 171 24141 37 02-29888001 68 172 23574 320 02-29261771 69 173 24257 88716 02-29071181 70 174 24158 8688 02-29991166 71 175 22065 3032 02-29631777 72 176 24250 69 02-85218788 73 180 23544 562 02-22220603 74 182 23449 158 02-89280491 75 183 23569 342 02-29421722 76 184 24765 213 02-28470606 154
77 185 24753 161 02-22886888 78 186 23671 15 02-22672345 79 187 23141 129 02-22180111 80 191 23844 189 02-26870656 81 192 22146 276 02-26472611 82 193 24356 99 02-22968388 83 194 23741 65 02-26747711 84 196 23941 101 02-26777711 85 197 24246 211 02-66371688 86 198 23657 149 02-22635656 87 199 24448 331 02-26098399 88 200 20051 305 02-24222192 89 201 20041 46 02-24282121 90 211 20645 81 02-24567101 91 220 26550 85 03-9543611 92 221 26044 140 03-9354911 93 240 33042 79 03-3321121 94 244 33046 94 03-3011234 95 241 32045 35 03-4936999 96 242 32641 95 03-4755131 97 243 32042 175 03-4253151 98 245 33859 99 03-3521212 99 246 32443 265 03-4689688 100 247 33446 307 03-3679911 101 248 33342 1227 03-3505822 102 249 32552 8 03-4090666 103 250 33542 87 03-3878833 104 251 32083 260 03-4626969 105 252 33377 381112 03-3183456 106 260 32850 780 03-4081731 107 262 33756 108 03-3867272 108 300 30041 131 03-5217111 109 302 30074 495 03-6687888 110 351 30061 118 03-5212191 111 301 31041 9 03-5969372 112 310 30442 15516 03-5592130 155
113 313 30264 6 03-6673289 114 323 30251 159 03-5542277 115 320 35051 10 037-472651 116 321 35159 922 037-663577 117 322 36049 686 037-353711 118 400 42043 95 04-25273180 119 401 42352 282 04-25871180 120 402 43655 241 04-26237171 121 403 42041 225 04-25275123 122 420 40041 174 04-22261111 123 422 40144 53 04-22294471 124 423 40446 338 04-22025131 125 424 40758 9 04-23266555 126 425 41265 37 04-24835151 127 426 40667 81 04-22924456 128 427 40347 270 04-23755981 129 429 43748 6 04-26805111 130 430 41167 58 04-22771919 131 431 40767 16 04-23591778 132 451 43353 112 04-26629951 133 500 54263 317 049-2323881 134 501 54062 236 049-2222701 135 520 50061 152 04-7242151 136 521 50861 300 04-7556101 137 522 51041 753 04-8358161 138 523 50551 279 04-7745988 139 524 51442 250 04-8821811 140 540 64046 45 05-5339711 141 541 63242 50 05-6334901 142 542 64851 239 05-5882868 143 543 65152 252 05-7730280 144 600 60041 320 05-2232050 145 601 60047 469 05-2236321 146 602 61341 2 05-3701133 147 620 73061 109 06-6322295 148 621 72149 36 06-5727241 149 622 71049 800 06-2015531 156
150 640 70048 154 06-2222111 151 642 70165 90 06-2747027 152 643 70054 156 06-2211622 153 644 70443 294 06-2221171 154 645 70143 203 06-2360789 155 646 70965 4671 06-3567272 156 647 71742 511 06-2490651 157 648 74447 2321 06-5893535 158 681 70254 172 06-2911835 159 700 80344 178 07-5611241 160 701 80284 120 07-7130701 161 702 80049 117 07-2864191 162 703 80143 189 07-2859161 163 704 80245 489 07-3353141 164 705 80652 33 07-3358231 165 706 80759 150 07-3113531 166 707 80655 153 07-3368101 167 708 80055 78 07-2385901 168 709 80765 57 07-3806150 169 710 81367 6 07-3464601 170 711 81167 336 07-3513299 171 712 81369 160 07-3438911 172 719 82041 331 07-6211091 173 720 83058 145 07-7472121 174 721 82141 902 07-6072233 175 722 81451 41 07-3711101 176 751 80642 132 07-7112366 177 752 83085 642 07-8414495 178 753 80253 14819 07-7161601 179 760 81249 180 07-8013993 180 765 81274 44 07-7913916 181 800 90078 36 08-7323831 182 801 91248 187 08-7799911 183 802 92046 71 08-7883001 184 813 93142 155 08-8662811 185 820 97048 78 038-323181 186 830 95046 347 089-310121 157
5th FL., 32 Lombard Street, London EC3V 9BQ, U.K. 44-207-2207979 44-207-6261515 42 824 141 100 139 42 63 76 127 242 73 10th FL.,Royal Tower, 235 Nguyen Van Cu St., District 1,Ho Chi Minh City, Vietnam 84-8-38371888 84-8-38371999 111803-04 518008 1803-1804 18F., Tower One, Kerry Plaza, 1 Zhongxinsi Road, Futian District, Shenzhen, China 86-755-25832208 86-755-25832398 1. 2. 3. 4.2,187 Suite 303, DMC Tower, 535 Kim Ma Street, Ba Dinh Ha Noi, Vietnam 84-4-22203168 84-4-22203169 158
330 Madison Ave., 38th Floor, New York NY 10017 U.S.A 1-212-286-1999 1-212-286-1212 27 199 707 Wilshire Blvd., Suite 3100, Los Angeles CA 90017 U.S.A 1-213-3626666 1-213-3626617 Suite 603 level 6, 60 Carrington Street, Sydney NSW 2000 Australia 61-2-82960100 61-2-82960188 92 18565601-03 Suite 5601-03, 56th Floor.,Central Plaza, 18 Harbour Road, Wanchai, Hong Kong 852-28240288 852-28242573 801403 80 Robinson Road, #14-03, Singarpore 068898 65-63242566 65-63242155 159
160