engagements;(6) Engagement performance (EP): Insufficient involvement of engagement partners and EQCRs was found with inadequate and improper audit manuals, such as audits of high fraud risk areas and group
against potential losses due to fraud. Note: * Failure to comply with Clause 23 (1), subject to the prohibited characteristics of the personnel in the capital market business under Clause 31
and investors to exercise caution when using services from unlicensed digital asset businesses, as they will not be protected under the law and may be exposed to risks of fraud and scams as well as
, as they will not be protected under the law and may be exposed to risks of fraud and scams as well as money laundering activities. The public and investors can verify the list of licensed business
deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is not being
manner of deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office
lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during
, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its