Department 2) Consideration SEC official inspect qualifications of applicant by checking qualifications and status of the applicant 59 days Accounting Supervision Department (Unofficial Translation) 3 Step
_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position
E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
firm that the applicant is attached with whether such system is in accordance with the ISQM 1, ask the applicant for clarification on any issues found from the review of the audit works and inspect of
applicant, review audit works of the applicant whether it is in compliance with the ISAs, inspect audit quality management system of the audit firm that the applicant is attached with whether such system is
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
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
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document