Questionnaire No. Particulars Reference /Guidance Notes Description Risk Assessment Process for Governance and Leadership element A1 What are the quality risks in Governance and Leadership element
confidence in service quality? (e.g. firm's SOQM, firm's strategy and governance & leadership, transparency report, firm inspection results, non-compliance with law and regulation and responses to emerging
,” describe how the firm monitors its independence 18 Does the firm review unpaid fees from clients to ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the