procedures appropriate to the size and nature of the firm? 4 Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes
Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes,” describe the source of such material (such as access
be a qualified person with independence, objectivity and required competency; (3) Update the requirements per current standards and guidelines to be in alignment with international standards and other
raise independence issues. (Non-audit service) 3. High Risk Industries Resource, extractive, mining, oil and gas industries : • The current issue is not necessarily going concern but the issue is more
? B6.1 Please provide the firm's organization chart for SOQM that shows all the responsibilities for SOQM functions (all areas of TSQM's elements), including risk assessment, compliance with independence
abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The
abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The
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procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
, goals and strategies, supervision and monitoring of the SEC's operation, and board-level evaluation The SEC Office Code of Governance specifies the following requirements: Legal compliance Independence