? B6.1 Please provide the firm's organization chart for SOQM that shows all the responsibilities for SOQM functions (all areas of TSQM's elements), including risk assessment, compliance with independence

firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for

Activities 381 225 191 148 N/A N/A Red Activities >381g >225g >191g >148g >50g >50g Note: all thresholds are subject to review every three to five years in accordance with new data and technological

Client Acceptance: Firm's Reference /Guidance Notes Description 1 The standard documentation highlights all important matters for consideration, including: • integrity and identification checks on client

from network firms)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and consultants of the firm? 3 What are

"&14แนวทางการประเมินสำหรับผู้ประกอบธุรกิจภายใต้หน่วยงานกำกับดูแล (IT Audit Program) &"TH Sarabun New,Regular"&14Authorised Restricted Use - Confidential &"Calibri"&11&K000000&"TH Sarabun New,Regular"&14

standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a

documentation of risk assessment process (the risk profile tables) in excel format. The risk profile shall include (1) quality objectives (2) quality risks and (3) responses for all relevant elements of TSQM 1

งานกำกับดูแล (IT Audit Program) &"TH Sarabun New,Regular"&14Authorised Restricted Use - Confidential &"Calibri"&11&K000000&"TH Sarabun New,Regular"&14หมวด 1 การกำกับดูแลและบริหารจัดการเทคโนโลยีสารสนเทศ

of the monitoring process annually; and (b) Whether the firm is notified promptly for all identified deficiencies in the system of quality management. B10 Does the firm have a formal policy or