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
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
derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have
, 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
of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Chapter 4 Information Communications Security via Computer Network Systems and
limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque
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
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