assess the incremental risks associated with their staff providing personal services while other firms, which collected the necessary information, had no means to verify the reliability or the completeness

· 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

performance. However, as the manners to evaluate performance may vary, the firm should implement the manner which is suitable for the environment and culture of each firm, Convincingly, the performance

มูลทีสอดคล้องกับ TNFD ได้ และใช ้The LEAP Approach เปนวธิตีรวจสอบเพิมเติม เพือใหม้ันใจวา่กระบวนการดังกล่าวจดัการกับปญหาทีเกียวกับธรรมชาติได้อยา่งเพียงพอ Assess your nature-related risks and

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

, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

evaluate clients risk? 5 Regarding integrity checks, does the firm conduct, for example: • communications with existing or previous professional accountants; • inquiry of personnel/third parties such as

relation to threats to independence and objectivity of EQR; (d) complying with provisions of law and regulation (if applicable); If yes, please respond to following questions. - How does the firm assess an

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

investment products within the same asset class. • Use appropriate metrics to compare similar investments. • Evaluate the real rate of return on investment products. • Confident to undertake research on