? B6.1 Please provide the firm's organization chart for SOQM that shows all the responsibilities for SOQM functions (all areas of TSQM's elements), including risk assessment, compliance with independence
preparing for the FSAP assessment since 2016 by conducting self-assessment, amending regulations and processes to close any regulatory gaps found deviated from the newly published IOSCO Principles (May 2017
. “Most importantly, the SEC’s hands-on approach to our duties in various areas will reflect our commitment to independence, transparency and fairness for all. This is how we build trust and confidence
against independence impairment of partners in the Audit Firm 8 8. Details of the quality control system of the Audit Firm 8 9. Audit Quality Indicators (“AQIs”) 9 1. Audit Firm Profile Name
the associated fee 7 7. Safeguards against independence impairment of partners in the Audit Firm 8 8. Details of the quality control system of the Audit Firm 8 9. Audit Quality Indicators (“AQIs”) 9 1
, social, sustainability and sustainability-linked bond framework, or appropriate procedures such as information barriers will have been implemented within the institution to ensure the independence of the
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
even our daily lives. 3 ❑The 2023 Israel-Hamas war ❑The war between Ukraine and Russia ❑Trade War between US and China ❑Autonomy of Taiwan and Hong Kong from China Source: The Guardian newspaper ❑Tension