Notification on Outsourcing for Capital Market Services Licence Holders

Company’s Letter Head
Executive Director
Intermediaries Supervision Business Group
Securities Commission Malaysia
3 Persiaran Bukit Kiara
Bukit Kiara
50490 Kuala Lumpur
NOTIFICATION ON OUTSOURCING
FOR CAPITAL MARKET SERVICES LICENCE HOLDERS
CMSL :
…………………………………………
Date of Submission :
…………………………………………
We hereby confirm that the arrangement between (Name of the CMSL holder) and (Name of the service provider) that was undertaken on ……………….. , is in compliance with securities laws, regulations and all relevant guidelines; and that measures are in place to ensure compliance on a continuous basis. Please describe briefly the outsourced function(s). Also a brief on the rationale to outsource to service provider or sub-contractor outside Malaysia and explanation on why the particular function could not be undertaken domestically (if outsourced to service provider or sub-contractor outside Malaysia). We have conducted a review of the operations of (Name of the service provider) and are satisfied that (Name of the service provider) has the capability and capacity to efficiently fulfil its duties and responsibilities in respect of the outsourced function(s). We declare that, all information given in this notification form is true and accurate. …………………………………………………. ……………………………………………….. Name: ……………………………………….. Name: ……………………………………… (Chief Executive Officer/ Executive Director) (Person responsible for submission) Date: Date:
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Head
Participants Supervision Division
Bursa Malaysia Bhd
12 th
Floor, Exchange Square
Bukit Kewangan
50200 Kuala Lumpur