Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
Identity card No. ………………… Expiry date ..………………… O Passport No. ……………………………… Country of issuance ………………... Expiry date ………….. 2.5 Marital status O single O married O divorced Form as of 25 July 2006 2.6 Name
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10
to property. [ ] Yes [ ] No (3) I am the person whose property has been ordered by the court to devolve upon the State in accordance with law on counter corruption, law on prevention and suppression of
status as financial institution; (6) a person who obtains derivatives business license in the category of derivatives broker limited to gold derivatives; (7) a commercial bank; (8) other financial
value of securities or the suitability of a securities investment; (11) “ general advice ” means an investment advice given to any person without considering the investment objective, financial status, or
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i
comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund manager on the renewal application date