Reference /Guidance Notes Description B1 Does the firm evaluate the effect of deficiencies noted as a result of monitoring process and determine whether they are either 1) Instances that do not necessarily
in money laundering /criminal activities; • reasons for proposed appointment /re-appointment. 6 Does the firm evaluate the knowledge, expertise of engagement team and sufficient time required to
relation to threats to independence and objectivity of EQR; (d) complying with provisions of law and regulation (if applicable); If yes, please respond to following questions. - How does the firm assess an