designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
fund, the nature of investors, including on the basis of diversification of risks, the Office, upon the approval from the SEC, shall have the authority to issue notification to specify types of
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
governance? 3 Does the engagement partner have the appropriate capabilities, competence, authority and time to perform the role? 4 Do the responsibilities of the engagement partner are clearly defined and
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of
in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the