Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual

Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)

performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate

Questionnaire No. Particulars Reference /Guidance Notes Description Risk Assessment Process for Governance and Leadership element A1 What are the quality risks in Governance and Leadership element

the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time

control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the

means any assets and activities are potentially eligible use-of-proceeds, if they meet the necessary requirements. STEP 3 STEP 2 STEP 1 • Element Energy • EIB • EBRD • University College London

A. RAP and HR Planning A.0 Risk Assessment Process for Resources element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Resources element that the firm considers as

(2019-2021), the SEC stepped up the inspection on each element to conform with today's changing contexts. More in-depth inspections on the areas containing risks to audit quality and sustainability of

inspection results in the 3 inspection cycle (2017-2018); the score in each element of the quality control system of most audit firms was higher than that during the 2 cycle, notably the ‘monitoring’ element