record and firm’s profile in the form as publicized in the SEC’s website. Signature of the applicant is required. (3) Certification of auditor’s professional qualification in the form as publicized in the
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
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its
controlling and monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
sustainability management as the Company deems appropriate. The policy and guidelines may be disclosed in full via the Company’s website to give investors an understanding and a guideline for further monitoring
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
....................................................................................................................... telephone:................., facsimile: ..................., Website /home page: ………………..................., e-mail: address..........................., branch office located at (if any
Company is advised to consider the guidelines, manual or disclosure checklist in Form 69-1 available on the website of the SEC Office. In this regard, the Company may also use the guidelines, manual or