information. In this regard, the mobile devices shall be registered prior to the intended use and such registration shall be reviewed at least once a year and upon any replacement of mobile devices; (2
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
independence of the firm. - Precisely define the ‘related entities’ to enable the audit firms to completely disclose and consider the independence regarding related entities. The process to evaluate the
replacement of lost important data. 4.3 If companies have used a service from a service provider, companies should cooperate with a service provider in determining a recovery time to restore normal operation
case may be. In addition, there should be provided an approach on provision or preparation of substitute data in replacement of lost important data. 3 4.3 If companies have used a service from a service
that has not covered the enforcement of investors’ rights as determined in the filing and prospectus. Other mechanisms equivalent can be used in replacement. For example, obligations or document with
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with