follows:(1) Submit to the SEC the net capital maintenance rectification plan;(2) Take steps according to the submitted plan under (1) to rectify the shortfalls within the specified period;(3) Facilitate

a registration statement previously filed by this applicant. However, the SEC found the same deficiencies on issues such as related party transactions and unclear separation of businesses the

(CSRC), Financial Reporting Council (FRC Hong Kong) and SEC Thailand. The meeting discussed the inspection process development, deficiencies found during audit quality inspection and initiatives in

regulations as specified by the SEC and was unable to rectify all deficiencies in order to resume its ICO portal services in an appropriate manner. These incidents showed that Longroot had been unable to

Following the SEC's monitoring and examination of Bitazza operations, it was found that the company has significant deficiencies in critical systems related to the operation of digital asset business

company. This is to help prevent any deficiencies and mitigate the risk of issuing incorrect financial statements;Selecting auditors with quality and expertise by assessing audit quality aspect rather

system. However, their listed company clients accounted for only 10 percent of the total market capitalization. At engagement levels, significant deficiencies were such as audits of revenue recognition

. The answers to each questionnaire should base on actual practices. If the assessment results in deficiencies in any internal control components (whether it is the reason for neither system existence nor

during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9104 Ms. Hester Peirce กรรมการ ก.ล.ต

inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and https://www.sec.or.th/EN