responsibilities? 5 Does the firm have responses to quality risks to monitor the workload and availability of engagement partners and audit staff? If yes, please describe. 6 How does the firm manage planning
consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
Thavaramara said: ?Investors are strongly advised to monitor their trading transactions and money transfers, and make sure to transfer money directly to the account of the responsible intermediaries only. Also
Professional Waste Technology (1999) Public Company Limited Professional Waste Technology (1999) Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q4/2013
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest as well
management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest
evaluate clients risk? 5 Regarding integrity checks, does the firm conduct, for example: • communications with existing or previous professional accountants; • inquiry of personnel/third parties such as