Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its personnel; · require principals and staff to be alert
, both listed companies and audit firms ought to put in place proper work processes and internal controls to ensure the desired outcomes. Listed companies need a suitable internal control system and a well
updating its technological systems to ensure that it can cope with possibility of a significant surge in transaction volume. Nonetheless, commercial banks are likely to be exposed to technological failure
Covered Management Company of the Thai Covered Fund shall ensure investors in both Thailand and Hong Kong receive fair treatment, including in respect of investor protection, exercise of rights
earnest, while also seeking new partners in order to ensure increased income and customer base, especially by providing financial transactions via online channels and multiple platforms. 3 1.3 Significant
audit procedures to be in line with the auditing standards. The improvement process also involves communication with their personnel to ensure that such manual and procedures will be applied appropriately
direct regulation of CRAs and may incorporate elements of the IOSCO CRA Code itself. Finally, the IOSCO CRA Code only addresses measures that CRAs should adopt to help ensure that the Principles are
specified in this Notification principally. Clause 15 A trustee shall ensure that the trust instrument complies with all material aspects of the relevant laws and shall act in accordance with the following
circumstances under which the signatory would join forces with other institutional investors to ensure that boards acknowledge and respond to their concerns on critical issues and at critical times; and, with