with firm’s audit manual? 2 Do the firm policies and procedures specify the form and content of working papers including standardized forms, checklists, and questionnaires that are to be used in the
of the risk management or allocation of IT resources in a year, etc.; (b) any progress of the IT project (if any); (c) any compliance with the regulations, rules or agreement made with external parties
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02011D0030-20130701" http
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
International Standards on Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of