Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
guidance specified by the intermediary to comply with such rules, and in any case there shall be at least sufficient and efficient operating systems as follows: (a) risk management system; (b) internal
Reference / Guidance Notes Description A Audit methodology and procedures: 1 Does the firm use standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
/ Economic Dependence VII. Threatened or Actual Litigation VIII. Gifts and Hospitality IX. Non Audit Services Particulars Reference / Guidance Notes Description A.1 General Policies and Procedures: 1 Whether
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
Company and their experience in reviewing financial statements. 11.3 Selection and appointment of directors and chief executives (1) Independent director - Specify the selection criteria, i.e
services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives