services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any
important matters for consideration on the firm’s competence to conduct the audit, for example: - Firm personnel have knowledge of relevant industries or subject matters; - Firm personnel have experience with
relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists https
) documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes
Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
following qualifications: (1) Have the complete qualifications and registered as qualified person for being fund supervisor as specified by the Notification of the Office; (2) Do not hold shares of the
qualifications: (1) Have the complete qualifications and registered as qualified person for being fund supervisor as specified by the Notification of the Office; (2) Do not hold shares of the management company
qualifications: (1) Have the complete qualifications and registered as qualified person for being fund supervisor as specified by the Notification of the Office; (2) Do not hold shares of the management company