31386 paragraphs found
How the firm’s risk assessment process is designed (e.g., a centralised or decentralised process, or the frequency of review) may affect the nature, timing and extent of the monitoring activities, including monitoring activities over the firm’s risk …
How the firm’s monitoring and remediation process is designed (i.e., the nature, timing and extent of the monitoring and remediation activities, taking into account the nature and circumstances of the firm) may affect the monitoring activities undertaken …
Changes in the system of quality management may include: Changes to address an identified deficiency in the system of quality management. Changes to the quality objectives, quality risks or responses as a result of changes in the nature and circumstances …
The results of the firm’s previous monitoring activities may indicate areas of the system where a deficiency may arise, particularly areas where there is a history of identified …
Previous monitoring activities undertaken by the firm may no longer provide the firm with information to support the evaluation of the system, including on areas of the system of quality management that have not changed, particularly when time has elapsed …
In addition to the sources of information indicated in paragraph 37(f), other relevant information may include: Information communicated by the firm’s network in accordance with paragraphs 50(c) and 51(b) about the firm’s system of quality management, …
The results of external inspections or other relevant information, both internal and external, may indicate that previous monitoring activities undertaken by the firm failed to identify a deficiency in the system of quality management. This information …