references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
services of ...................., as detailed as follows: Position * Responsibilities ** No. of Persons Experience in Auditing (year) *** Average Experience **** Employee Turnover (%) ***** Partner Senior
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
business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
committee and senior management in accordance with periods of assessment, periods of monitoring of correcting deviation or without delay when significant deviation is detected. Chapter 2: IT Security 1
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
ตำแหน่ง * หน้าที่รับผิดชอบ ** จำนวนคน ประสบการณ์ทำงานด้านสอบบัญชี (ปี) *** ประสบการณ์เฉลี่ย**** อัตราการหมุนเวียนของพนักงาน(turnover %) ***** หุ้นส่วน (partner) ผู้จัดการอาวุโส (senior manager) ผู้จัดการ
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish