ethical requirements and quality Performance ? 4 Is the work of all registered auditors in the firm, including partners, subject to quality review from network firm or monitoring unit and appraisal? If yes
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside
operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper
monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside information among work units
the certificate directly to the SEC; 1 The Hong Kong Monetary Authority, in conjunction with the People’s Bank of China and the Monetary Authority of Macao, launched the Wealth Management Connect Scheme