Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform

June 2021. This year, the representatives from Deloitte and EY Thailand also attended to share and confer on the significant audit development initiatives, and how each firm responds to the emerging

Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the

year. The score improvement reflects the SEC’s operating enhancements in various areas as well as preventive measures against corruption.  The SEC has received excellent results in the CRMS Assessment

remediation plan, contributing to constantly improved system of quality control within the firm. The most striking result to emerge from this inspection cycle was the improvement of “leadership responsibilities

Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document

guidance to improve the quality in each element. In the 3 inspection cycle, the evaluation result in this element shows improvement compared to the earlier cycle. The firm leaders maintain decent attitude

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

UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and

UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange