, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3