Questionnaire A.0 Risk Assessment Process for Relevant Ethical Requirements element Firm's Reference /Guidance Notes Description 1 What are the quality risks in ethical requirement element that the
engagements of each individual auditor is based on rating scale of 1-4 (approval given with no deficiencies found to failing the SEC-approval process) 08 Even with the raised expectations for each element
TSQC1 consists of six elements, all of which are important for the system of quality control, deficiencies in one element inevitably affect the working of others and resolving a weakness in one element
for quality within the firm” and “human resources” elements, as compared to the results from the 2 or 1 cycle. Meanwhile, the “ethical requirements”, an element of observations and further improvement
either for the investment chain (or individual elements of it or activities within it) or for underlying investments may also be a key element of delivering on fiduciary duties. 4.6 Collective engagement
for reform in individual countries. 4 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 The Principles were originally developed by the OECD in 1999 and last updated in 2004. The current review
the 1st audit quality inspection cycle (1 October 2010 - 31 December 2012), deficiencies were found in most audit firms, especially in the element of the engagement performance. This was partially due
efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the
marginal part, which represents the dynamic behaviour of each individual marginal, and the copula part, which represents the joint dependence among those individual components. Specifically, the REITs
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company