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

performance of engagements? If no, describe how the firm determines appropriate working papers for an engagement and communicates to the engagement team? 3 Does the firm have a disclosure checklist for the

that it is aware of the applicable independence, integrity, and objectivity rules. 5 Does the firm communicate its policies for independence to its personnel? If yes, describe how the firm communicates

in writing. Chapter III Mediation of Dispute ________________________ Clause 12. In cases where the claimant expresses the intention to request the Office to mediate the dispute prior to commencing the

institutional investor ; (2) a high net worth investor who is juristic person and expresses its intention, in writing, not to be assessed such suitability; (3) the client who wishes to invest in the investment

or their assigned persons with whom the intermediary communicates and provides services; (4) a procedure for monitoring and inspecting communication and provision of services, namely: (a) monitoring

net worth investor who is a juristic person and expresses its intention in writing not to participate in the suitability assessment of investment or transaction; (3) a client who wishes to invest in