…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening

. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the

derivatives broker shall exercise its prudence by reviewing the financial status, sources of income, and assets to be placed as collateral or for repayment in derivatives trading. Clause 23. Prior to opening an

and procedures as provided on the website of the SEC Office within 15 days as from the last date of each month having redemption or exercise; (2) the report of the exercising right to purchase

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any

I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name

management company shall proceed as follows: (1) report to the Office within five working days from the date of acknowledgement or the date on which it should have acknowledged so; (2) notify the person or the

within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody

exercise its discretion or make decision in the operation for the intermediary; “ end user ” means the employees of the intermediary and contractors who engage in the operation and has access to the