), which is punishable under Section 274. In addition, the responsible management may be liable to punishment as prescribed by law. The SEC shall consider further legal action in due course
> Financial Reporting and Audit Oversight > Auditor Supervision > Quality Assurance & Review Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
) prescribed by the International Auditing and Assurance Standards Board (IAASB). Supporting Accounting Profession to be in line with International Standards Auditor Supervision Monitoring on Financial Report
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intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
, any punishment that promotes firm quality, and relevant personal evaluation criteria) and Please describe the details of such actions briefly. B20 How does the firm's leader communicate the audit firm