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

capital market. Nonetheless, the SEC still identified certain deficiencies in the quality control system in this inspection cycle such as rotation of auditors, insufficiency of human resources, completeness

damage, [ii] other circumstances indicating that the applicant is facing financial distress, or [iii] reasonable grounds to believe that the applicant has any deficiency or inappropriateness in operational

of clients? assets: deficiency of the verification process created risk of  damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another

consequently affect confidence in securities business and the capital market at large;      (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was

prescribed by the Office shall act as follows: (1) preparing a report of the inadequacy of collateral and liquid asset in accordance with the form prescribed by the Office and submit to the Office within the

In case of report of deficiency found by the external auditor or internal auditor on deficiencies in internal control, the company fix the deficiency thoroughly. 14. The organization internally

at large;       (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the

and liquid asset prescribed by the Office shall act as follows: (1) preparing a report of the inadequacy of collateral and liquid asset in accordance with the form prescribed by the Office and submit to

addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set