Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
-security: concerns over confidentiality of data. Cyber-security may not be an IT issue but a business risk. Consideration being given to what cyber-security risks mean to the financial preparers and auditors
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https
UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and