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(Dealing Members letter head) Sample checklist for Initial Listing on USE by Initial Public Offering/Offer for Sale (ASEM Board) Checklist for First Submissions: (insert name of applicant issuer)

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What is dealing member s letter?

Dealing member s letter is a document that must be submitted by certain individuals or entities in relation to their financial activities.

Who is required to file dealing member s letter?

Dealing member s letter must be filed by individuals or entities engaged in dealing activities in the financial industry.

How to fill out dealing member s letter?

Dealing member s letter can be filled out by providing relevant information about the dealing activities and complying with the reporting requirements.

What is the purpose of dealing member s letter?

The purpose of dealing member s letter is to provide transparency and accountability in dealing activities and to ensure compliance with regulations.

What information must be reported on dealing member s letter?

Dealing member s letter must include details about the types of dealing activities, volume of transactions, counterparties, and any potential conflicts of interest.

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