1(1) (2) or (3) who has notified and excecuted the intention to comply with the Notification of the Capital Market Supervisory Board concerning Temporary Rules for Undertaking Business of Certain
and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed
transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer
accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the
negotiation takes place. In the case where a complaint on such advice giving or negotiation and the handling thereof has not completed within such period, the securities company shall maintain the records of
the financial statements for the first six months of the financial year shall be completed within three months from the end of each accounting period, while the financial statements for each financial
impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first
operator of the outcome of the application for approval under Clause 2 (1) (a) within thirty days from the date of receipt of the valid and completed documents, except in case it is necessary to examine