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
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
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
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
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
the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the