auditors responsible for the audit engagement (engagement partners), the engagement quality control reviewer (EQCR), the audit manager, and the assistant auditors (staff), as follows: Client Chargeable hours
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
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
brokerage; (8) derivatives advisory providing investment planning to clients or using software programs in providing services to clients; (9) derivatives manager; In the case that an intermediary under the
consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
operation of the fund and shall have the power to appoint a fund manager and shall be the representative of the fund in the businesses involving third parties. For such purpose, the fund committee may
agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “ major shareholder ” means a