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SEC Search Search From : Home > Search > Search Results search: Documents Any Documents Microsoft Excel ( 10 ) http://172.19.1.196:8983/solr/secweb/select?q=electrical control OR "electrical control
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities