Office on a quarterly basis within the fifteenth day of the first month of the following quarter. Clause 5 To ensure that the model or method used in the stress test are appropriate to the current and
performance and monitoring, it is with limited impact as the audit clients of these firms only accounted for 10 percent of total market capitalization, as of the end of 2015. Deficiencies during this second
inspection results in the 3 inspection cycle (2017-2018); the score in each element of the quality control system of most audit firms was higher than that during the 2 cycle, notably the ‘monitoring’ element
of the monitoring and root cause analysis on such deficiencies, remediation plan preparation and the follow-up of the remediation plan. The SEC will continue to assist audit firms and follow up on
first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
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
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
without delay in case appeared that have significant case effect to the security of the information technology 1 [M] o proving a method or compliance guideline support to compliance with the prescribed
Initiative | April 2018 13 Table 1: Illustrative built infrastructure assets covered by the Water Infrastructure Criteria Assets Example projects* Mitigation Adaptation & Resilience Water monitoring, including