or a person licensed to undertake securities business in the category of securities dealing under foreign laws. 6 Clause 19 A securities company shall keep records of the giving of advice and
| - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency | - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records
) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control
Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission Contact The Securities and Exchange
inaccurate financial positions in the financial statements, e.g. pseudo capital increase, accounting records without supporting factual evidence, inaccurate investment reports, and overexaggerated liquid
exclusive) payable in the form of: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 8. Other supporting documents ( please specify
the form of: [ ] [ ] - Bank draft / Corporate cheque / Cash - Receipt of money transfer [ ] 8. Other supporting documents (please specify) _________________________________________________ Please print
or distributing to investor the following documents containing material facts no different from the draft filed with the SEC Office under the Notification of the Office of the Securities and Exchange
) Property Fund Prospectus ( 60 ) Form 59-1 / 59/2 ( 46 ) List of Approved persons / Licensees ( 40 ) Public Hearings ( 37 ) Tender Offer Documents ( 17 ) Infrastructure Fund Prospectus ( 9 ) Result of Sale
. - Reduce supporting documents for outward remittance in certain objectives and allow submission of supporting document in electronic form. - Individuals are allowed to domestically enter into a forward