, 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
Reference / Guidance Notes Description A Audit methodology and procedures: 1 Does the firm use standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the
licensed CPAs or of assistant auditors in such audit firm, do not hold shares of the company or its subsidiaries for which the applicant is the auditor; 3. I or a person with equivalent authority in the
shareholder of the Audit Firm is a company, please specify the major shareholder of that company in order that the SEC Office will have the information of the natural person who is the ultimate shareholder of
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
Company audit client and all subsidiaries audited by the firm) will regularly be more than 15% of the firm’s annual fee income (or where Audit Engagement Partner profit share not on a firm basis, on that
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document