e-service Online Submission See canceled document Derivatives Advisors >> Business Operation Rules   Type Title Section See Document Status Notified Date Effective Date 1. Act   The Derivatives Act

e-service Online Submission See canceled document Limited BDU >> Business Operation Rules   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities and Exchange Act

e-service Online Submission See canceled document Securities Underwriter Business >> Securities Dealing (Section 114)   Type Title Section See Document Status Notified Date Effective Date 1. Act

e-service Online Submission See canceled document Securities Underwriter Business >> Securities Underwriting (Section 116)   Type Title Section See Document Status Notified Date Effective Date 1. Act

global effort to reduce carbon emissions leading to global warming. SEC has therefore upgraded the Online Fund Approval and Management System (“OFAM”) to accommodate paperless filings.Businesses can

benefits related to any financial product sellers. Such advice must be made online via website or electronics channels with a feature for general people’s participation for comments.Investment advisors

business sector. Therefore, the Regulatory Guillotine is an important scheme under SEC strategic plan (2020-2022). SEC will lessen its processes, procedures and document required for submission toward SEC

and related persons must submit hardcopy documents and also online documents through electronic system, which might cause burden on the private sector and it does not go accordingly with the

The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online

material change to the document. Department of Business Development 3) Certification of the Applicant via SEC Office Online Form Original: 1 copy Photocopy: 0 copy Remark: Signature of the applicant - 4