. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the

on derivatives. Clause 12. In addition to that particularly specified, the Office shall have power to prescribe rules in detail relating to matters specified in this notification to make clarification

. …………………………………………………………….. (Sign) ………………………. Consider person Date …………………….. Clarification Statement of an Applicant for Approval of Private Fund Custodian Company/Bank ………………………………… 1. General Information: 1.1 Individual person (1

Business B generate 65 percent and 35 percent of the total income respectively. Such clarification is made with reference to the relevant notes to the financial statements). Income Structure1 Product Line

client’s derivatives trading is inappropriate or may contravene the law on derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or

. In this regard, the Office may request for an explanation or clarification of such reports or documents. Clause 11/3. In the case where the investment advisory company violates or fails to comply with

with the scheme which has been approved by the SEC Office. The power to issue an order under Paragraph 1 shall include orders in the following manners: (1) clarification or disclosure of additional

details regarding the issues within this notification. This is to allow the clarification in practice and to allow the SEC Office to audit those practices. Clause 29. In case where it appears to the SEC

client’s derivatives trading is inappropriate or may contravene the Law on Derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or

clarification is made with reference to the relevant notes to the financial statements). Income Structure 1 Product Line/ Business Group Operated by Shareholding % Income2 (YEAR) % Income2 (YEAR) % Income2 (YEAR