Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 4
, for example: - The identity and business reputation of the client’s principal owners, key management, and those charged with its governance. - The nature of the client’s operations, including its
the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
principal auditor, Does the firm have policies & procedures to ensure the quality of audit work done by the other firm that includes as a part of the engagement such as subsidiary and associate? Please
the CPD targets set for each of the following staff levels? • Partners • Senior Managers • Manager • Audit Seniors • Audit Trainee • Consultants/Sub-Contractors • Temporary Staff 4 Is there structured
[Digital Asset Broker] นายหน้าซื้อขายสินทรัพย์ดิจิทัล [Digital Asset Dealer] ผู้ค้าสินทรัพย์ดิจิทัล [Digital Asset Fund Manager] ผู้จัดการเงินทุนสินทรัพย์ดิจิทัล [Digital Asset Custodial Wallet Provider] ผู้
] ผู้ค้าสินทรัพย์ดิจิทัล ระบบการรับลูกค้า การพิสูจน์ยืนยันตัวของลูกค้า ระบบการรับลูกค้า (customer onboarding) และระบบการพิสูจน์ตัวตนของลูกค้า (KYC) [Digital Asset Fund Manager] ผู้จัดการเงินทุนสินทรัพย์