1.0 Purpose. 2.0 Supersede TAE/GAM Scope

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1 Policy Code TAE//MAR2011/15.1 Department General Administration Management Department Issue Date 11 March 2011 Issued By Systems and Methods Department Effective Date 11 March 2011 Last Updated Date 11 March Purpose This policy establishes the Company s position on centralizing the requisition for business cards by employees and those associated with the Company. This function will be performed and controlled by the General Administration Management Department. The procedure stated establishes the guidelines by requisition for business cards will be processed, managed and controlled by the General Administration Management Department. 2.0 Supersede TAE/ Scope The scope of this policy and procedure applies to all requisition for business cards made within the TA Group of Companies. Hence, all employees and associates within the TA Group of Companies will be affected by this document. 4.0 Definitions Abbreviations, Definition Acronyms, Terms CCD CCR DO EDD FBR Credit Control Department Client Remisier Relations Delivery Order Executive Dealing Director Futures Broker Representative General Administration Management Department Page 1 of 6

2 Policy Code TAE//MAR2011/15.1 Department General Administration Management Department Issue Date 11 March 2011 Issued By Systems and Methods Department Effective Date 11 March 2011 Last Updated Date 11 March 2011 Group TA Group of Companies HOD HRD IAD MD & CEO PO PV RF SMD TASH TAIMB TAF Head Of Department Human Resource Department Internal Audit Department Managing Director & Chief Executive Officer Purchase Order Payment Voucher Requisition Form Systems & Methods Department TA Securities Holdings Berhad TA Investment Management Berhad TA Futures Sdn Bhd 5.0 Policy Statement 5.1 Business cards are permitted for those employees / TASH Remisiers / TAF - Commissioned Futures Broker Representatives, whose job descriptions require them to regularly interface with clients or external parties. 5.2 Business cards requested by TASH Remisiers, TASH Commissioned Dealers, TASH Special Arrangement Teams, TAF Commissioned Futures Broker Representatives, and TAIM Agents are chargeable at cost to their respective accounts with TA for settlement. 5.3 Business cards recommender is responsible to ensure the accuracy of all information stated on the RF especially the name and designation. 5.4 HRD is responsible to perform the 2nd level verification to ascertain the accuracy of the employee s name and approved designation / business title to be printed on the card. Page 2 of 6

3 Policy Code TAE//MAR2011/15.1 Department General Administration Management Department Issue Date 11 March 2011 Issued By Systems and Methods Department Effective Date 11 March 2011 Last Updated Date 11 March Head of will ensure that the supplier or vendor engaged is an approved vendor listed in the TA Group Panel of Suppliers and Vendors List. 5.6 Head of will ensure that a PO is issued for every requisition which is then matched (3 ways) with the Invoice and DO received by personnel prior to creating a PV. 5.7 Head of will ensure all PV is approved by the Management only after delivery has been made and in order. Requester Verified By Recommended By 2nd Verification Approved By Employees Immediate Supervisor of Employee HOD HRD Head of TASH - Remisiers Head Of CRR CCD HOD N/A Head of TAF - Commissioned Futures Broker Representatives Manager Operations EDD N/A Head of TAIM - Agents TAIM HOD TAIM CEO N/A Head of Page 3 of 6

4 Policy Code TAE//MAR2011/15.1 Department General Administration Management Department Issue Date 11 March 2011 Issued By Systems and Methods Department Effective Date 11 March 2011 Last Updated Date 11 March Responsibilities 6.1 HOD shall be responsible for the consequences, financial or non-financial, arising from any deviation from this policy. 6.2 Head of shall be responsible to assess employees eligibility and to approve the request for business cards, based on policy clause 5.1. The Head of shall be responsible to validate the RF and either accept or reject the application based on set policy guidelines. 6.3 Head of Internal Audit shall be responsible in performing compliance checks in regards to this policy and its procedures. 7.0 Interpretations Department, in consultation with the SMD, shall be responsible to provide clarity to this policy in the event of any ambiguity. 8.0 Procedures 8.1 Requestor will obtain and complete the RF and to ensure it is duly verified and recommended before submission to. 8.2 For business card requests from employees, will forward the RF to HRD for 2 nd verification as stated in clause Once RF has been approved by Head of, it will be routed to Purchasing Officer to prepare PO. 8.4 Once the supplier or vendor has issued the DO, will check the delivery. 8.5 HOD will prepare the PV after matching (3 ways) the PO, invoice and DO. Page 4 of 6

5 Policy Code TAE//MAR2011/15.1 Department General Administration Management Department Issue Date 11 March 2011 Issued By Systems and Methods Department Effective Date 11 March 2011 Last Updated Date 11 March Once the items have been verified, the PV will be submitted to Management for payment approval in accordance to the approved AA listing for payment. 8.7 The approved PV will then be submitted to Accounts Department for the cheque issuance. 8.8 The signed cheque will be returned to for suppliers and vendors collection. Refer Appendix A for the Business Card Requisition Process Flow. 9.0 Approved Designations of Employees No(s) Approved Designations 1 Associate 2 Paid Dealer s Representative 3 Senior Associate 4 Senior Paid Dealer s Representative 5 Assistant Manager 6 Manager 7 Senior Manager 8 Assistant Vice President 9 Vice President 10 Director 11 Executive Director 12 Chief Executive Officer 13 Deputy CEO 14 Managing Director & CEO 15 Executive Chairman 9.1 All employees within the TA Group of Companies are strictly prohibited from printing their business cards using different business titles from their approved designations. Page 5 of 6

6 Policy Code TAE//MAR2011/15.1 Department General Administration Management Department Issue Date 11 March 2011 Issued By Systems and Methods Department Effective Date 11 March 2011 Last Updated Date 11 March Employees may requisite their business cards using business titles different from there approved designations. Approval of such requests is solely based on business requirements and is at the discretion of the management. 9.3 The approved list of business titles on business cards that deviate from approved designations of employees can be found in Appendix B. This listing will be updated as and when upon approval by MD & CEO of TAE. 9.4 Any employees found not compliant will be subjected to disciplinary action accordingly Exception Any exception, waiver or deviation from the requirements of this policy or procedure requires the approval of MD & CEO Appendixes Appendix A Business Card Requisition Process Flow Appendix B Deviation from the Approved Designations on Business Cards Appendix C Business Card Requisition Form Issued by, Approved by, Sally Tan Assistant Vice President Systems and Methods Datin Alicia Tiah MD & CEO Page 6 of 6

7 Appendix A Business Card Requisition Process Flow Page 1 of 1

8 Appendix B Deviation from the Approved Designations on Business Cards TA SECURITIES HOLDINGS Dealing Research Paid Dealer s Representative Senior Manager Associate Senior Vice President, Institutional Sales Senior Analyst Analyst / Economist TA INVESTMENT MANAGEMENT Investment Sales & Marketing Marketing Senior Manager Manager Associate / Senior Associate Senior Manager Manager Assistant Manager / Manager Associate / Senior Associate TA PROPERTIES SDN BHD Assistant Manager Senior Associate (Market Research) Senior Associate (Business Development) Associate Head Private Client Fund Manager Analyst / Investment Analyst Head of Agency Head of IUTA Regional Manager Relationship Manager Manager - Product Marketing Manager - Market Research Manager - Business Development Associate - Product Marketing Page 1 of 1

9 TA Group of companies BUSINESS CARD REQUISITION FORM Appendix C PART A (To be completed by Applicant) Particulars to be printed on the card are Name Designation Academic / Qualification Department Affix name card sample here Floor / Room No. Company TA Global Berhad TA Enterprise Berhad TA Properties Sdn Bhd TA Gemilang Trading Sdn Bhd TA Securities Holdings Berhad TA Investment Management Berhad TA Capital Sdn Bhd Others TA Binaprestij Sdn Bhd TA Futures Sdn Bhd General Line Extension Direct Line Fax No. Address Additional Information (Applicable for Remisiers only) Name in Chinese Residential Phone Character Handphone No. No. PART B (Details of request) No. of cards to be printed (100 / box) Reason for request Box(es) Engagement / Employment Status Employees Agents Remisiers Dealers FBR Others Requested by Verified by Recommended by Accepted Rejected Recommended Not Recommended Remarks Name Designation Date Remarks Name Designation Date Remarks Name Designation Date PART C (To be completed by HRD / & Applicant) 2nd Verification by HRD (for employees only) Approved by Head of I, hereby acknowledge receipt of the Business cards Accepted Remarks Name Designation Date Rejected Approved Remarks Name Designation Date Not Approved Staff No / Remisier / Dealears Name Designation Date

Document. Index. Version 1.0. Revision Date 1 st June, Page No. Page 1 of 13. Section Procedures Document Process Owner

Document. Index. Version 1.0. Revision Date 1 st June, Page No. Page 1 of 13. Section Procedures Document Process Owner Page No. Page 1 of 13 1.1.0 SCOPE These written instructions set out the policies and procedures for all purchases and payment thereof. 1.2.0 OBJECTIVE The objectives of these instructions are: 1.2.1 To