indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance
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
leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d
preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall communicate the policy thoroughly in order to
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
policy, and shall communicate the policy thoroughly in order to become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to
which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities
for each staff level? If yes, how does the firm communicate them to its personnel? 8 Does the firm include quality of work perspective in its Job description and its evaluation form? 9 What criteria is
operational approach understandable and practicable on what, when and where to work. 5.2 Methods and channels to communicate among relevant persons either inside or outside companies Companies shall determine