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
, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish
business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
“opinion shopping”? 10 How does firm deal with domineering/awkward personalities at Board or senior management level? 11 How does firm deal with client disagreements? D Internal Pressures: 1 How do partners
requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
elements in TSQC 1, as follows: (1) Leadership Responsibilities for Quality within the Firm (2) Relevant Ethical Requirements (3) Acceptance and Continuance of the Client Relationship and Specific
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
). Identify the names of the property appraisal firm and the lead appraiser, the appraisal date and the appraised price. In case of an IPO, the appraised price must not be older than one year after the filing
clients: (1) any person who is sixty years old or older; (2) any person with limited knowledge on finance or no investment experience; and (3) any person with limitations on communication or decision-making