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                Assurance Service
                • Share

                [1 Internal Control Audit]

                Express opinions on the effectiveness of internal control of the listed companies and securities companies

                [2 Annual Assessment on the Internal Control of the Fund Custody Business]

                Carry out the relevant review and assessment on the construction of the internal control system for the statutory business and value-added services of the fund custodian business and the implementation thereof, and issue assessment report

                [3 Annual Evaluation on the Fund Management Companies’Internal Control]

                Assess the internal control of fund management companies

                [4 Predictive Financial Information Audit]

                Audit the predictive financial information prepared by enterprises

                [5 Audit Business for the Differences Between Actual Earnings and Profit Forecast]

                In case there is any difference between the actual earnings and profit forecast of the listed company and the related assets separately disclosed in the associated annual reports after the major assets reorganization, or when the asset evaluation agencies evaluate the assets to be purchased under the present earning value method, hypothetical development method and other valuation methods based on the forecast of future earnings, or there is any difference between the actual earnings of the related assets separately disclosed in the associated annual reports within three years after the major assets reorganization and profit forecast listed in the assessment report, CPAs should conduct special audit of the difference between the profit forecast and the actual earnings, and issue a report thereon

                [6 Special Audit ofMajor Asset Restructuring]

                Conduct audit of the major asset restructuring process of listed companies and the efficiency thereof

                [7 Special Proceeds Audit]

                Attest the deposit and use of funds raised by listed companies

                [8 Financial Statements Review]

                CPAs provide assurance opinions with effective guarantee for the companies’ financial statements only by inquiry, analytical procedures and inspection procedures

                [9 Audit of the Securities Companies’ Collective Assets Management Plan]

                Attest the collective assets management plan of the securities companies

                [10 Special Audit of the Securities Companies’ Client-specific Assets Management Business]

                Conduct special examination on the client-specific assets management business of the securities companies

                [11 Client's Asset Management Business Audit]

                Conduct audit of the operations of the client's asset management business of the securities companies

                [12 Audit of the Securities Companies’ Special Asset Management Plan]

                Conduct audit of the operations of the special asset management plan of the asset securitization business of the securities companies

                [13 Audit of the Risk Reserve for Securities Investment Fund Raised through Public Offering]

                Attest the withdrawal, investment management, use and the ending balance of the risk reserve for securities investment fund raised through public offering

                [14 Review and Approval of the Safety Regulatory Reports for Securities Trading Settlement Funds of Securities Companies]

                Review the safety regulatory reports for the securities trading settlement funds submitted by the securities companies to the securities regulators, and express an audit opinion

                [15 Special Audit of the IT Governance of Securities Companies]

                Review and approve the IT governance of securities companies

                [16 Special Audit of the Liquidation of the Revoked Accounts of Securities Companies

                Related Information

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