inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
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
experience and authority? 3 Does the monitoring process required those performing the engagement or the engagement quality control review are not involved in inspecting the engagements? 4 Does the firm have
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
. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management
operates project-based business such as a real estate development business or a power plant business, clarify the characteristics of each significant project, e.g., the project location, the characteristics
the appraisal process? 11 How the firm’s training covers emerging issues such as new TFRSs, TASs, TSAs, Ethical Standards and other emerging issues and whether training promotes quality control ? How
. Remarks : Persons or businesses related to the auditor and the audit firm include: (a) spouse and child dependent on or under the care of the auditor; (b) business with power of control over the audit firm
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver