in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes
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
submitted application or the supporting documents or evidences have any defect or do not fulfill applicable requirements. The applicants shall provide an evidence that the application fee of THB 100,000 (VAT
records of clients’ assets as prepared by the securities company. For the clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve
clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve updated information to verify the records of such assets reported by a
evidences have any defect or do not fulfill applicable requirements. 41. The SEC will thereafter notify the result of the application assessment to a Hong Kong Covered Entity for offering, marketing and