APPENDIX 1 - RISK DISCLOSURE STATEMENT ON SECURITIES BORROWING. [Deleted]
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1 APPENDIX 1 - RISK DISCLOSURE STATEMENT ON SECURITIES BORROWING [Deleted] As at 12 December 2017
2 APPENDIX 2 [Deleted] As at 2 January 2019
3 APPENDIX 3 [RULE 7.30(21)] MONTHLY RETURNS ON CREDIT FACILITIES EXTENDED IN RELATION TO MARGIN ACCOUNT To: Bursa Malaysia Securities Berhad Participants Supervision Division Level 12, Exchange Square Bukit Kewangan 50200Kuala Lumpur Name of Participating Organisation: Report on Margin Accounts as at last market day for the month of. 20 Name of client (a) *1 Approved limit (b) *2 Outstanding balance (c) *3 Value of equity (d) 4 (d/c) x 100 (e) (b/g x 100) (f) TOTAL (g) Participating Organisation s Effective Shareholders Funds.. (h) Paid-up capital.. (i) Published reserves.. (j) Total of (c) = times (g) Signed: [Authorised signatory] [Full Name] [Designation] Date:
4 Note: 1* Approved limit refers to the maximum amount of Margin Financing permitted to be utilised by the Client. 2* Outstanding balance is as defined under Rule 1.01 of the Rules. 3* Equity is as defined under Rule 1.01 of the Rules.
5 APPENDIX 4 DECLARATION ON COMPLIANCE FOR REGULATED SHORT SELLING AND SECURITIES BORROWING AND LENDING [Rules 8.23(c) and 7.20(c)] [Deleted] As at 12 December 2017
6 APPENDIX 5 NOTIFICATION REQUIRED IN ORDER TO CARRY OUT MARKET MAKING AND PEITTED SHORT SELLING AND DECLARATION REQUIRED FOR PEITTED SHORT SELLING [RULE4.06, RULE 4.12 AND RULE 4.13(5)] To: Bursa Malaysia Securities Berhad PART A NOTIFICATION REQUIRED FOR MARKET MAKING Pursuant to the requirements of Rule 4.06, we [name of Market Maker] provide notification as follows: Name of Market Maker Designated trading account/s Designated Securities Account numbers: The date of opening of accounts: Dated this [ ] day of [ ] [year]. Signed : Date : [Authorised Signatory] PART B Pursuant to the requirements of Rule 4.13(5), we [name of Market Maker] provide notification as follows: Derivatives accounts numbers: The date of opening of accounts: DECLARATION ON COMPLIANCE Pursuant to the requirements of Rule 4.12, we [name of Market Maker] provide notification as follows: 1. that we have formulated the internal guidelines for permitted short selling which have been approved by the board of directors; and 2. that all relevant systems and infrastructure including front office and/or back office systems have been verified and assessed in terms of application as well as software and the hardware capabilities and are confirmed to be operational and have all the functionalities, requirements and controls in place for the purpose of carrying out permitted short selling activities in accordance with these Rules. Signed : [Authorised Signatory] Date :
7 APPENDIX 6 DECLARATION ON DIRECT BUSINESS TRANSACTION [RULE 10.09(2)(b)] I/We*, named below, do declare that: DECLARATION (a) I/We* am/are* the authorised signatory(ies) of [insert name of corporation]** ; (b) I/We*/[insert name of corporation]** intend(s) to buy/sell* the following securities by way of a Direct Business Transaction as defined in these Rules: PARTICULARS (i) (ii) (iii) Counter (short name & stock code) No. of securities involved Price per unit of securities (iv) Name of Participating Organisation (for buyer) (for seller) (c) the information, in particular the basis on which the price was agreed and the specific reason for the transaction, and documents furnished to the Participating Organisation to evidence the information submitted to the Participating Organisation are true and accurate; and (d) the transaction is genuine and all other written law, directives or guidelines relevant to such transaction, if any, have been duly complied with. Signed: [Authorised signatory] Date: *Please delete whichever is not applicable **Only applicable if the DBT is by a corporation
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