not set key performance indicators (“KPI”) or communicate KPI to its staff in order to express the firm’s clear expectations. Example 6 : An audit firm did not include the conclusion of staff

(Credit Lyonnais Securities Asia) Asia-Pacific Markets moved Thailand up from the eighth to the fourth place. The area of the highest score was the Thai government’s clear policy and firm commitment to

audit quality control of the Audit Firm, the Audit Firm is requested to provide a clear and concise details of the policies and procedures on the audit quality control, in the manner according to the

System of the Audit Firm For the SEC Office’s consideration regarding the policies and procedures on the audit quality control of the Audit Firm, the Audit Firm is requested to provide a clear and concise

notifications has taken suggestion from all parties, including listed companies, potential issuers, and investors, into consideration intended to provide  clear and sufficient information for investors without

findings, it seems difficult to draw a clear-cut conclusion on whether CSR as a whole has a positive, negative, or neutral effect on firm value. When socially responsible investors and corporate managers are

The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

every firm  passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take

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

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