…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

shall sign on the risk disclosure statement to certify that the risks relating to trading derivatives have been clarified to the client, and shall arrange the client to sign on such statement to certify

for the disclosure according to its duties. (4) Not to make presentation which will guarantee profit or return at a certain rate or the loss shall not be more than the rate already specified, except for

material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under Paragraph 1, an intermediary shall sign

, borrowing, lending of securities or for the guarantee of purchase, sale, borrowing or lending of securities or for any other benefit, shall comply with the rules prescribed in this notification. The

lending of securities or for guarantee of purchasing, selling, borrowing or lending of securities or for any other purposes, shall comply with the rules prescribed herein. The provisions in Paragraph 1

auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions

consultation, if the client has still insisted, the intermediary shall arrange the client to sign for confirmation that the client accepts risks arising from such investment or transaction. Clause 36 For the

derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by