servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

alternative assets such as gold mutual funds and investment in derivatives other than hedging purpose, management companies may choose to control the permissible investment proportion at individual level. In

audit quality control system in accordance with the prescribed standard. The rules and regulations on approval shall particularly address audit quality control at both firm and individual engagement level

developing the quality control system at the firm and individual engagement levels as per the findings of the SEC. Thanks to such efforts, the deficiencies found during the 2 inspection cycle were addressed

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

, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and

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)

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

quality of audit firms and performance of individual auditors instead of solely focusing on audit fees. In the long run, a reliable quality control system would support auditors and their teams in providing