unresolved matters preventing completion of the engagement quality review. • The documentation may be finalized after the date of the engagement report, but before the assembly of the final engagement file. If
schedule of the latest remediation plan. C Complaints and Allegations Firm's Reference /Guidance Notes Description C1 Does the firm have policies and procedures designed to provide it with reasonable
through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance that it is aware of the applicable independence