Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
purpose of standardizing the operating control of brokerage and dealing of securities that are not debt instruments, the SEC Office hereby issues the following preliminary common guidelines for securities
., shareholders, entities whose shares are held, common shareholders, common directors, using the same trademarks, or sharing employees, etc. In case of shareholding between the audit firm and any of the network
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
ควบคุมคุณภาพงาน (EQCR) ผู้จัดการ(audit manager) และผู้ช่วยผู้สอบบัญชี (staff) ดังนี้ บริษัท ชั่วโมงการทำงาน ไตรมาส 1 ไตรมาส 2 ไตรมาส 3 งวดปี SP EQCR EP Mgr. Staff Total SP EQCR EP Mgr. Staff Total SP EQCR
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties