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(Dealing Members letter head) Sample checklist for Initial Listing on USE by Introduction (ASEM Board) Checklist for First Submissions: (insert name of applicant issuer) Description of Application:

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What is dealing member s letter?

Dealing member's letter is a document submitted by a member of a securities exchange or financial institution to disclose their dealings in securities.

Who is required to file dealing member s letter?

Members of a securities exchange or financial institution who engage in dealings in securities are required to file dealing member's letter.

How to fill out dealing member s letter?

Dealing member's letter can be filled out by providing detailed information on the securities transactions, including the type of securities, quantity, price, and date of transaction.

What is the purpose of dealing member s letter?

The purpose of dealing member's letter is to ensure transparency and compliance with regulations regarding securities transactions.

What information must be reported on dealing member s letter?

Dealing member's letter must include information on the type of securities, quantity, price, and date of transaction.

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