A. RAP and Audit methodology A.0 Risk Assessment Process for Engagement Performance element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Engagement Performance
application and the evidentiary documentation as prescribed in the Licensing Manual for the Public, the SEC Office shall ascertain the facts in accordance with the procedure and method as prescribed in the
Preparation of a 6 month-period report and an annual report is not required for the mutual fund which has the term period less than one year, invest in instruments with maturity period close to the term of the
management companies as well as fees and voting rights are required; (5) No double counting in the disclosure of NAV/AUM of the mutual fund management company, and that of the industry. Authority of the SEC
management companies as well as fees and voting rights are required; (5) No double counting in the disclosure of NAV/AUM of the mutual fund management company, and that of the industry. Authority of the SEC
Preparation of a 6 month-period report and an annual report is not required for the mutual fund which has the term period less than one year, invest in instruments with maturity period close to the term of the
; to contact and filing required document and other relating document for approval; to operate, contact, and/or process as deemed necessary and appropriate, to the SEC, government agency, and/or relating
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
evidences relating to the issuance and offering of convertible debenture; to contact and filing required document and other relating document for approval; to operate, contact, and/or process as deemed
significant evidences relating to the issuance and offering of convertible debenture; to contact and filing required document and other relating document for approval; to operate, contact, and/or process as