1964_SECURITIES_(ACCOUNTS_AND_AUDIT)_REGULATIONS — Page 2

B2

[Subsidiary]

CAP. 333] Securities (Accounts and Audit) Regulations [1986 Ed.

(c) there are any securities to which section 83(3)(a)(vi) of the Ordinance applies which have been deposited with or otherwise pledged or charged to any third party whether as security for loans or advances made to the dealer, or any related corporation, or for any other purpose and if so,—

(i) whether at the date of the balance sheet, the loan or advance was outstanding;

(ii) whether the auditor has inspected the written authorizations under section 81(3) of the Ordinance; and

(iii) in the case where the securities have been deposited with or otherwise pledged or charged to any third party for a purpose other than as security for loans or advances made to the dealer or any related corporation, what that purpose is.

L.N. 38/86.

SCHEDULE

FORM I

(Name of dealer or dealing partnership)

[reg. 2.]

Profit and Loss Account for the year ended

Current Year

Last Year

TURNOVER (Note 1)

REVENUE

Commission and brokerage

(a) securities dealing

(i) on the Unified Exchange

(ii) on overseas exchanges

(iii) other

(b) other than on securities dealing

Underwriting commission for securities listed on-

(a) the Unified Exchange

(b) overseas exchanges

Profit (Loss) on trading in securities listed on-

(a) the Unified Exchange

(b) overseas exchanges

Dividends and interest on investments

Interest from-

(a) clients

(b) banks and deposit-taking companies

(c) other sources

Exchange difference

Other revenue (supply details)