inspecting unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level…………………………………….…………… (Please specify the names of the engagement
, concise and reliable. [M] · Making a contract identified clearly a data confidentiality and scope of work and service level agreement. [A] 2. Service provider controlling · In case of get a service on
performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted
evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the
will be major shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (a) the scope of
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of