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

evaluate the quality risks, how many levels are determined, and what are the definitions for each level? For example, how many level of likelihood are there, and what are the definitions for each likelihood

COM741C2407A 3 Call Warrants on CPALL Issued by BLS # Call Warrant on CPALL Issued by BLS# A CPALL01C2407A 3 Call Warrants on CPALL Issued by KGI # Call Warrant on CPALL Issued by KGI# A CPALL13C2407A 3 Call

สามัญของบริษัท ซี.ไอ.กรุ๊ป จำกัด (มหาชน) CIG-W9 6 Call Warrants on CPALL Issued by KGI # Call Warrant on CPALL Issued by KGI# A CPALL13C2312A 6 บริษัท อีเทอเนิล เอนเนอยี จำกัด (มหาชน) EE 6 Call Warrants

(d) Notification requirements for any unresolved concerns and the completion of the EQR. If yes, please respond to the following questions. - How does the EQr evaluate significant judgement and

Issued by JPM # Call Warrant on COM7 Issued by JPM# A COM741C2312A 6 Call Warrants on CPALL Issued by BLS # Call Warrant on CPALL Issued by BLS# A CPALL01C2312A 6 Call Warrants on CPALL Issued by YUANTA

CPALL Issued by YUANTA # Call Warrant on CPALL Issued by YUANTA# A CPALL19C2403A 9 N/A CPN Issued by YUANTA # Call Warrant on CPN Issued by YUANTA# A CPN19C2403A 9 N/A DELTA Issued by KGI # Call Warrant

Call Warrants on CPALL Issued by KGI # Call Warrant on CPALL Issued by KGI# A CPALL13C2405A 8 Call Warrants on CPALL Issued by JPM # Call Warrant on CPALL Issued by JPM# A CPALL41C2405A 8 Call Warrants

on COM7 Issued by YUANTA# A COM719C2408A 3 Call Warrants on COM7 Issued by JPM # Call Warrant on COM7 Issued by JPM# A COM741C2408A 3 Put Warrants on CPALL Issued by BLS # Put Warrant on CPALL Issued

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