acknowledged every audit firm’s commitment to improve system of quality control by improving and developing the system of quality control according to most of SEC’s previous inspection findings, especially
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
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ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non
control system for goals and objectives achievement, compliance with applicable laws and regulations, safeguarding of the assets from frauds and damage, and preparing reliable accounts and reports. The
“infrastructure business” means the following businesses: (a) rail or pipe transportation system; (b) electricity; (c) water supply; (d) road, toll road or concession road; (e) airport; (f) deep sea port; (g
“infrastructure business” means the following businesses: (a) rail or pipe transportation system; (b) electricity; (c) water supply; (d) road, toll road or concession road; (e) airport; (f) deep sea port; (g
following businesses: (a) rail or pipe transportation system; (b) electricity; (c) water supply; (d) road, toll road or concession road; (e) airport; (f) deep sea port; (g) telecommunication or information
“commitment” means the commitment between a unitholder and a mutual fund management company according to the notification of the Capital Market Supervisory Board regarding commitments between unitholders and