bankers, legal counsel and industry peers; • background searches. And do the considerations include: • identity and business reputation of client; • the nature of client’s operations; • information

assurance that it deals appropriately with: (a) complaints and allegations that the work performed by the firm fails to comply with professional standards (including TSQM) and regulatory and legal

within the firm, with legal counsel or other parties). A.II Specific Policies and Procedures Firm's Reference /Guidance Notes Description 1 Partners / Staff Leaving: Does the policies and procedure require

nature and complexity through appropriate training and participation; • understanding of professional standards and applicable legal and regulatory requirements; • technical knowledge and expertise

ไม่นับบุคลากรจากบริษัทแม่ หรือบุคลากรประเภท outsource/contract/3rd party (2) หากไม่มีบุคลากรที่รับผิดชอบด้าน IT Compliance โปรดตอบจำนวนบุคลากรเป็น 0 * หากเจ้าหน้าที่ Legal, IT, Compliance หรืออื่น ๆ รับ