personal relationships that might create a conflict? 4 Long Association / Rotation: Do they require that: · the length of time held by key audit partners and staff is monitored for ; and are subject to
/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from
shall supervise a service provider at least in the following matters: (1) the appropriateness of the policy and operation of the service provider shall be monitored and reviewed regularly, at least an
-central utility function, an intermediary shall supervise the outsourcing at least in the following matters: (1) the appropriateness of the operation of the service provider shall be monitored and reviewed
design, competitive strategies, and treatment of employees and customers, etc. Such activities should be monitored to ensure compliance with at least relevant laws. In cases where CSR was affected by the
combination of the one as representative of investors , the one being securities or derivatives trading expert and the two appointed from the name list proposed by association . The committee shall appoint one
staff of the SEC Office. Additionally, those experts shall be the combination of the one as representative of investors , the one being securities or derivatives trading expert and the two appointed from