assurance that its understanding is in agreement with the client’s understanding of the work to be performed. B Resignation from Audits: 1 Does the firm have policies/procedures on withdrawing from the
threats to independence and objectivity and take appropriate actions, including withdrawing from an engagement if effective safeguards could not be applied? 17 Does the firm have a system for identifying
assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the