relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request
and in the manner which facilitates prompt inspection by the Office upon request. Clause 12 . This Notification shall come into force as from 1 October 2008. Notified this 28th day of April 2008. (Mr
maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
No If yes, please summarized the results of inspection in the space below 5. Declaration I hereby declare that all information provided in this application and its attachments are true and correct
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part H: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
years from the date of issue, in a way that such documents are prompt to be called or inspected by the SEC Office without delay. For the purpose of (4) in the first paragraph, the term “cyber security
with the client is terminated. Such documents and information shall be stored in the manner that enables prompt access for review by the Office when requested. Notified this 1st day of March 2007
its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
the details of listed companies you have been involved with in the latest year No. Name of entities Industry Your responsibility (Siging Partner/Engagement Partner/EQCR 5. Declaration I hereby declare