, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC
securities business operating or derivatives business to intermediaries . Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity
place of the tasks of an audit committee. Qualifications of Audit Committees of Securities Companies Having no responsibilities in management of day-to-day operations A minimum number of two members
management under paragraph one hereof, or in the back office operation, the management company shall carefully consider selecting such persons suitable for the tasks to be designated, and shall also ensure
persons suitable for the tasks to be designated, and shall also ensure that such persons perform their tasks in compliance with the laws on securities and exchange. In case any designated person becomes no
the tasks to be designated, and shall also ensure that such persons perform their tasks in compliance with the laws on securities and exchange. In case any designated person becomes no longer suitable
power to appoint an audit committee, ad hoc sub-committees to perform specific assignments, and sub-committees to consider and give advice on the issuance of rules and regulations. The Board also has the
opinions on the SEC readiness and related risks to ensure all tasks run cautiously and efficiently. Transparency is also a top priority along every line of responsibility, from granting licenses to
standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a
Company increased the project cost estimation because of the problem of delay in handover of work area by the employer, overlapping tasks of the employer and changes and adjustment of the construction