intended to limit the spread of COVID-19. The health and safety of our staff and customers remains our top priority. Our teams constantly evaluate the situation and use appropriate protocols to serve
(d) Notification requirements for any unresolved concerns and the completion of the EQR. If yes, please respond to the following questions. - How does the EQr evaluate significant judgement and
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
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
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and accuracy of orders, and can be
certainty and accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with
) Important points What is the information that can help predict future performance? Disclosed information There is certainty that it will happen in the future and affect the performance, such as: Events
) The Subcommittee has a duty to propose policies and workplans for developing organizational governance, as well as frameworks for recruitment of officers, remuneration determination, and evaluate the
independence of the firm. - Precisely define the ‘related entities’ to enable the audit firms to completely disclose and consider the independence regarding related entities. The process to evaluate the