indicate that the system of quality management is insufficient. 2) Systemic, repetitive, or other significant deficiencies that require prompt corrective action B2 Does the firm establish the criteria and
these key responsible persons and key responsible persons in risk assessment process to ensure that changes or adjustments are communicated in timely manner. &1#&"Tahoma"&12&KC0C0C0SEC Classification
can timely identify, capture, process, communicate and maintain relevant and reliable information for supporting the SOQM? 3 How does the firm keep the communicated information current, meaningful and
difficult or contentious matters or matters involving differences of opinion? - How does the firm monitor and support the EQr to ensure they can perform their review in a timely and efficient manner
, integrity and objectivity) with professional and regulatory requirements 13 Does the firm provide its personnel with the firm’s list of clients and any related entities and inform them on a timely basis as to