offering). The independent financial advisor (IFA) considers that the information disclosure in this case is insufficient, and the company is exposed to the risk of absence of due diligence in the
Bitkub Online Company Limited Between January 2-21, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems concerning
Bitkub Online Company Limited Between January 6, 2021 and May 28, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
Bitkub Online Company Limited Between December 28, 2020 and January 20, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient
Bitkub Online Company Limited Between January 8, 2021 and July 19, 2021, Bitkub Online Company Limited (“Bitkub”), a digital asset exchange, implement inappropriate and insufficient market
whenever necessary; Insufficient involvement of engagement partners and EQCRs in the engagement performance, such that their level of involvement does not correlate with level of audit risks, and thus
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
from insufficient involvement of engagement partners and engagement quality control reviewers (EQCRs) and incomplete audit manuals as required by quality control standard. Findings by respective average