matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists

Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics

Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence Director of

(2003) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29, in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43

(2003) as amended by the Derivatives Act (No. 2) B.E. 2551 (2008) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29, in conjunction with

do not override the quality of the work performed and the independence of the firm and its personnel. 11 Describe how the firm reviews and updates the Quality control policies, procedures, and

against independence impairment of partners in the Audit Firm 8 8. Details of the quality control system of the Audit Firm 8 9. Audit Quality Indicators (“AQIs”) 9 1. Audit Firm Profile Name

restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the

and Section 28 of the Derivatives Act B.E. 2546 (2003) , which contains certain provisions related to the restriction of rights and liberty of persons, which Section 29 in conjunction with Section 35

provide bookkeeping or any services which affects its independence to the company or its subsidiaries for which the applicant is the auditor; 6. The engagement performance and responsibilities of the