…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final

pending application for exemption from the SEC; O no 6.19 Having been convicted by a final judgement of the court for an offence related to unfair practice concerning securities or derivatives trading or