........). 5. Have emphasis of matter paragraphs resulting from (can choose more than one): ฆ 5.1 An uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ฆ 5.2 An
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
in the audit performance. These firms are also revising the monitoring procedures to be more comprehensive, both at the firm level and the engagement level. This matter requires much time and efforts
related to digital assets in the future. Significant and recurring deficiencies arising from the inspection of auditor’s engagement, e.g., revenue recognition, going concern and provisions of allowance for
concern, such as risk or audit? Is it better to address concerns to the company’s staff, such as its General Counsel or Corporate Secretary? Should the matter be channeled though an Investor Relations Chief
and having a content cover the following matter [M] ▪ Security of the Information Technology of a Securities Company. ▪ Segregation of Duties. ▪ Physical Security. ▪ Information and Network Security
any acts to engage into assets trading or enter to be counterparty before the fund. Clause 6. Management company shall manage their own business in the matters which concern with any acts that may
company perform any acts to engage into assets trading or enter to be counterparty before the fund. Clause 6. Management company shall manage their own business in the matters which concern with any acts
better results than that of previous year. This element, however, contains more key deficiencies than other ISQC1 elements and thus remains an area of key concern for the SEC. The inspection findings are
any) In the event that the major shareholders make an agreement on a matter that materially affects the issuance and offer for sale of securities or the management of the Company, and such agreement is