Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force from the day following the date of its publication in the Government Gazette except

to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

derivatives business operator has ceased the status of the juristic person under Clause 2, the derivatives business registration under this Notification shall be deemed terminated. Clause 7. This Notification

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

financial status and business operation: Securities companies, excluding such securities companies licensed to undertake securities business in the category of securities finance, shall prepare and file this

insurance companies; (f) life insurance companies; (g) juristic persons in the category of corporation; (h) mutual funds; (i) private funds; (j) Government Pension Fund; (k) provident funds; (l) Bank of

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

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

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