Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
) rating mutual fund and publishing the information on mutual fund rating with honesty, fairness, impartial, independence as well as due care for the sake of information recipients; (3) indicating the
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence Director of
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
against independence impairment of partners in the Audit Firm 8 8. Details of the quality control system of the Audit Firm 8 9. Audit Quality Indicators (“AQIs”) 9 1. Audit Firm Profile Name
provide bookkeeping or any services which affects its independence to the company or its subsidiaries for which the applicant is the auditor; 6. The engagement performance and responsibilities of the