The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
attended by over 80 regulators and audit firm representatives from 6 ASEAN countries and Hong Kong. Besides the AARG members comprising Malaysia?s AOB, Singapore?s Accounting and Corporate Regulatory
attended by over 80 regulators and audit firm representatives from 6 ASEAN countries and Hong Kong. Besides the AARG members comprising Malaysia?s AOB, Singapore?s Accounting and Corporate Regulatory
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
) 5th Annual Meeting was held in Kuala Lumpur from June 15-16, 2015. Hosted by Audit Oversight Board (AOB), Securities Commission Malaysia, the meeting was attended by over 80 regulators and audit firm
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
Securities and Exchange Commission (SEC) in collaboration with the Stock Exchange of Thailand (SET) and the Thai Institute of Directors (IOD), has organized a webinar on the topic, “Preventing, Deterring and
The SEC held a group meeting with nine organizations to integrate collaboration to prevent and suppress digital asset-related frauds and promote investor education regarding digital asset
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document