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
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
challenging to audit due to high degree of judgment required. • Complex transactions • Complexities of auditing IT : in particular in the areas of valuation, internal control and evidence of work performed
Company business operation are engineering, construction,and installation of electrical and control systems. The Company has also been providing operation and maintenance services to offshore and onshore
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing
human resources management and development programmes to ensure that the company has adequate staffing and appropriately knowledgeable, skilled, and experienced employees and staff. Principle 1 | 2
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
strategies, plans and targets. b) Ensuring robust system for risk management and internal control c) Clearly defining management’s responsibilities d) Overseeing appropriate policies and plans for resource