. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the

undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an

prior approval from the Office, which will help facilitate their business operation.

period of backup retention is required, consideration shall be taken for the method of data restoration in the future, for example, if the data is kept in a particular form of media, equipment and software

.. PAGE (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for Renewal

(Form 61-2); (9) Copy of the membership card of the Federation of Accounting Professions (FAP) and evidence on renewal of such membership of the applicant; (10) Copy of the certified public accountant

manager, such listed person shall act in accordance with the following rules: (1) submit to the Office a renewal application at least thirty days prior to the expiry date of the approval in the form and

selling agent of unit-linked life insurance policy shall be investor contact who performs duty of selling unit-linked life insurance policy approved by the Office Chapter 2 Renewal for Approval

renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the

the Office a renewal application at least thirty days prior to the expiry date of the approval in the form and procedure provided in the Office’s electronic work system along with evidence or reference