established internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
Business Operation in the part relating to management of fund investment, mutatis mutandis. Clause 16 9 A trustee shall govern, control and monitor REIT manager or any other assigned person (if any) to
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
receipt and payment transaction of the asset of the fund and preparing financial statement 3.4 Compliance Function Objective A management company shall have a compliance function to control and monitor
) Authorises the head of operational and business unit to monitor and control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where
) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
only. Nevertheless, in a necessary case to access to the part of production environment, it shall control or monitor a service providing strictly in order to assure that satisfied the prescribed scope
) to clients; (3) visibly reveal the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction