internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant
: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and
, the management committee, the audit committee and the remuneration committee, and the scope of authority and responsibilities of each committee; (2) Identify the audit committee members who have
areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure
additional disclosure in the Annual Registration Statement. For example, the Company plans to gain a 20-percent market share in the next three years or to develop production technology to reduce production