Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
Reference / Guidance Notes Description A Audit methodology and procedures: 1 Does the firm use standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the
Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural
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
baht when combined with deposit , according to the audited financial statements for the most recent financial year; (2) a natural person including the spouse, having any of the following characteristics
customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the
/ Economic Dependence VII. Threatened or Actual Litigation VIII. Gifts and Hospitality IX. Non Audit Services Particulars Reference / Guidance Notes Description A.1 General Policies and Procedures: 1 Whether
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities