courses conducted by the Investment Banking club Independence of Financial Advisors FAs require independence to effectively perform the duties. The criteria for consideration of independence include
the law. In cases where it is necessary for the benefits of investors, the SEC Office may require that the applicant seek additional opinion of the legal advisor on other related issues. Clause 23. The
regulators and relevant parties. The strategic priorities may be adjusted if changing circumstances so require. 5. Achieving its strategic priorities As the SEC operates within a legal framework, the SEC will
quality risks that require the assignment of responsibility for the appointment of engagement quality reviewer? If yes, please describe the responses and indicate who is assigned to the responsibility. Has
accuracy and completion of the issues and notify the applicant in writing. Require the applicant to submit a written clarification within a period of at least 14 days but no later than 21 days depending on
events, booth exhibitions, and (overseas) investor meetings to market the Project Crossroads Phase 2 (c) Source and assist appointment of the Project brokers, agencies, consultants, and advisors require
cooperation in relation to Covered Entities. Following consultation, cooperation may be denied: (a) where cooperation would require an Authority to act in a manner that would violate Domestic Law; (b) where a
that select Big 4 auditors are firms that have higher reporting quality. As a result, without auditor factors, these firms innate fewer mistakes that require audit adjustments. For auditor factor
an SLB related thereto? No, SLBs do not impose any commitment or disclosure on the investments required to reach the SPT. In some cases, reaching the SPT may require significant investment. In other
provides private audits. The audit firm did not require the staff to declare their private audit services in writing. There was also no evidence indicating the audit firm actually reviewed conflicts of