support of the consideration of the application for opening an account in order to ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and

the company. Monitoring Activities 16. The organization monitors and evaluates to ascertain whether the components of internal control are completely present and suitably functioning. Questions Yes No

ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during

,” describe how the firm monitors its independence 18 Does the firm review unpaid fees from clients to ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the

board. The chairman’s duties should at least cover the following matters:  ​(1) Oversee, monitor, and ensure that the board efficiently carries out its duties to achieve the company’s objectives.  ​(2

), by setting up a team to oversee business in these countries including picking the business partners among the group to continuously maintain standard of products and services of the Company

, Myanmar, Vietnam), by set up a team to oversee business in these countries. Including picks the business partners among the Group to maintain the standard of products and services from the Company

involved in the engagements? How does the firm oversee the work that is assigned? And how does the firm address the review of their work? 4 How does the firm document the performance of these

structure   A REIT is not a juristic person, but a pool of assets owned by a trustee. A trustee is entrusted with powers to oversee and administer assets of the trust in interests of the unitholders, who are

appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional