the firm: Firm's Reference /Guidance Notes Description 1 How does the firm establish the internal communication process to enable personnel and engagement teams to understand and carry out the SOQM
-km The activities carried out with the ships, that belong to the categories from Table 14 as well as those that exceed the thresholds for amber and green are not compliant Note: All thresholds are
programs/checklists and describe any such changes or updates. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures, and TSQM A5 To promote timeliness and
engagement team carry out their work in accordance with the planned approach. (d) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach
/targets/recovery rates? 7 What is the risk of inexperienced people being out of depth at client (and effect on their dealings with client and superiors) – how is this prevented? What process does the firm
organizational structure and indicate whether there are INEs at the global, regional or local level. B6 Whether the firm has designated a Quality Management (QM) partner who takes responsibility for the firm’s
used in determination of partner’s remuneration? (Please describe the criteria e.g., job portfolio, audit fee. You do not need to specify amount of remuneration, ) 14 Does the firm carry out staff
# A CENTEL06C2305A 7 Call Warrants on DELTA Issued by KKPS # Call Warrant on DELTA Issued by KKPS # B DELTA06C2305B 7 Call Warrants on GLOBAL Issued by KKPS # Call Warrant on GLOBAL Issued by KKPS # A
DOHOME Issued by JPM # A DOHOME41C2306A 9 Call Warrants on EA Issued by JPM # Call Warrant on EA Issued by JPM # A EA41C2306A 9 Call Warrants on GLOBAL Issued by JPM # Call Warrant on GLOBAL Issued by JPM
on CPALL Issued by KGI # A CPALL13C2307A 9 บริษัท ไดเมท (สยาม) จำกัด (มหาชน) DIMET 9 N/A GLOBAL Issued by KGI # Call Warrant on GLOBAL Issued by KGI # A GLOBAL13C2307A 9 N/A IVL Issued by KGI # Call