) having a quality control system sufficient and reliable to continuously supervise its auditors to comply with professional standards, provided that such quality control system shall be in accordance with
from sources believed to be reliable; however, GMO does not guarantee the accuracy, adequacy or completeness of such information. The information contained herein may be based on (i) data that may no
acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty
control unit which meet acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and
control unit which meet acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and
system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into
to prevent conflict of interest; (2) risk management system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business
caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into appraisal in risk management
–. The selected KPIs’ internal control and reporting processes are relevant, transparent and enable to provide reliable data. All relevant information related to the KPIs, including results, underlying
is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it