Key points
Appointed reviewers examine the entity’s quality controls. The Registrar considers findings and recommends an outcome to PAOC at firm level, which excludes PA members for this purpose. Outcomes range from satisfactory to not satisfactory, with intermediate findings categories. Assessment considers nature, severity and pervasiveness. Adverse results may require remediation or other orders protecting the public interest.
Official source
A concise, independent Apex Gateway guide based on the official English source, not a reproduction of the complete document. Consult the original for full conditions, exceptions and subsequent updates.
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