, internal control, information disclosure, complexity-based risk and product classification, and assessment of clients? risk tolerance prior to offering investment advice. The SEC has proposed for the
a quantity and complexity of transactions that are sufficient for demonstrating knowledge and capacity of the auditor and audit engagement quality; (6) being attached to only one audit firm and such
control measures are suitable to the risks and specific characteristics of the organization such as the environment; the work complexity, the characteristics of work, the scope of the operations, and other
obstruction for justice such as providing relevant facts or evidence, concealing or destroying relevant evidence, or giving false information; (6) complexity of actions or means such as using the names of other
business for not less than 1 year during the period of 5 years before filing an application for approval. In this regard, such businesses shall involve a quantity and complexity of transactions that are
mind in particular the size and complexity of the signatory, the nature of the risks and challenges it faces, and the investment objectives of the signatory or its clients. 7. Whilst clients and
interests is a long and complex one. Indeed, some have suggested that it is too complex and confusing. This section is a brief high level attempt to provide insight into that complexity. In a broader sense
foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity
, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity management of the