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
have conducted the inspections on the quality control system in the last three years, specify such the department or agency, the period of inspection, scope of inspection, summary of the inspection
auditing and accounting standards and guidance? Does the audit manual included requirements that are related to quality control of audit engagement? Where are standard audit manuals kept? Do the firm
prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
control or monitor a service providing strictly in order to assure that satisfied the prescribed scope, such as providing the company officer control strictly the service provider’s operation in case of