auditors responsible for the audit engagement (engagement partners), the engagement quality control reviewer (EQCR), the audit manager, and the assistant auditors (staff), as follows: Client Chargeable hours
___________________ Division 1 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for
Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for selling investment units
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
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
employer or; (2) Any company which management company or employer, as the case maybe, holds shares from ten percents of total shares sold of such company; “Fund manager” means any natural person which
nowadays, whereby the responsible staff in every level shall participate in the test. The BCP of critical business functions shall be arranged at least once a year or when there is a significant change
arbitral proceeding other than those prescribed herein shall be in compliance with the provisions of the Arbitration Act. Clause 5. In the arbitral process, the Office shall assign its staff to perform
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
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