committee (if any) and its responsibilities. 4. Inspection results on the quality control system (if any) In the case that an internal department of the audit firm, an independent agency, or a network firm
Commercial Alliances: Are there any commercial alliances with other organizations? Does the firm have any agency agreements with audit clients or others? 3 Influence over the affairs: Does the firm audit any
licensed CPAs or of assistant auditors in such audit firm, do not hold shares of the company or its subsidiaries for which the applicant is the auditor; 3. I or a person with equivalent authority in the
audit of a listed Company? If yes, Please attach a disclosure checklist If no, describe how the firm ensures financial statements of listed companies are sufficient disclosed in accordance with accounting
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
is an affiliated company ; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the outsource operator is an affiliated company ; (5
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
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
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the