engagement team carry out their work in accordance with the planned approach. (d) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach
· 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
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
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the
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
separate from the employees that participate in taking credit rating actions or developing or modifying credit rating methodologies that apply to such rated entity or obligor. C. CRA Employee Independence
: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session
are allowed to also inform the SEC of the names of foreign business operators instead of only the names of the foreign personnel as previously required; 2. Modifying the requirements for notifying the
at least on a quarterly basis;5. Modifying consideration procedures of underlying indices, management strategies, and disclosure requirements for inbound foreign ETFs to be in line with those