license is still valid; (2) being a leader of an audit firm or equivalent or being a partner of an audit firm or equivalent; (3) having performed audit work for a total period of no less than ten years
executive of an organization, a firm leader is ultimately responsible for the firm’s quality control system and its effectiveness. Therefore, to fulfill that responsibility, he or she has to ensure that
. Signature of the applicant is required. Certification of audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in the SEC's website. Signatures of audit firm's leader
Certification of audit firm's leader
element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what
SEC’s website. Signature of the applicant is required. (4) Certification of audit firm’s leader. Signature of audit firm’s leader is required. (5) Form 61-2F Certification and consensus of audit firm in
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to
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