necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or transactions; (b
procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or transactions; (b
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
. 2 When the relevant quality risk items are identified, how does the audit firm develop any procedures or processes to assess the level of quality risks? Please provide the details of followings
quality in these areas. The root cause analysis on some audit firms’ continual lack of the ability to fully remediate their deficiencies revealed a scarcity of experienced and competent staff to assume
an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to
, which was due on 17 April 2018. EARTH is now required to clarify and publicly disclose the information within 60 days after the bankruptcy court grants a permission for the plan preparer to assess the
Rule Making Process SHARE : Detail Content 1. Assess the importance of matters 2. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the