pending settlement transactions such as penalty fee in lieu of securities delivery or penalty fee for failure to obtain benefits is allowed to maintain balance in a Non-resident Baht Account for Securities
defect of internal control, compliance or information management system or having not been adjusting the systems thereof, unless having obtained exemption from the SEC Office. Clause 8 The granting
(8) having not been ordered by the SEC Office to adjust the defect of internal control, compliance or information management system or having not been adjusting the systems thereof, unless having
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities brokerage not limited to debt
type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities