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
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
shareholders due to the mutual fund or NVDR issuers not exercising the voting right at the shareholders’ meeting. 1.5 Issuance of other securities 1.5.1 In the case where the Company issued convertible
: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the
shall form a quorum. If the Chairman of the SEC is not present at the meeting or cannot perform his duty, and if there is a Vice-Chairman, the Vice-Chairman present at the meeting shall be the Chairman of
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and
areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure
C or is in a process of applying for such license. Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the following qualifications: (1)4 having paid-up