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system of quality management (SOQM)? If yes, Does the firm leadership provide the designated partner with the required authority and resources and take responsibility for the adequacy of firm’s response

https://www.sec.or.th/TH/Documents/Auditor/QAQR-02.xlsx

QAQR-08.xlsx

the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time

https://www.sec.or.th/TH/Documents/Auditor/QAQR-08.xlsx

CB-20240501.xlsx

GUNKUL Issued by YUANTA # Call Warrant on GUNKUL Issued by YUANTA# A GUNKUL19C2405A 8 Put Warrants on HANA Issued by YUANTA # Put Warrant on HANA Issued by YUANTA# A HANA19P2405A 8 Call Warrants on HANA

https://www.sec.or.th/TH/Documents/RiskManagement/ListName/CB-20240501.xlsx

CB-20240301.xlsx

GUNKUL13C2403A 9 N/A GUNKUL Issued by YUANTA # Call Warrant on GUNKUL Issued by YUANTA# A GUNKUL19C2403A 9 N/A GUNKUL Issued by YUANTA # Call Warrant on GUNKUL Issued by YUANTA# B GUNKUL19C2403B 9 N/A HANA Issued

https://www.sec.or.th/TH/Documents/RiskManagement/ListName/CB-20240301.xlsx

QAQR-07.xlsx

committee, investors, regulators, network firms, other networks, other service providers) Why are they considered relevant parties? For example, - The firm may consider a regulatory authority as a relevant

https://www.sec.or.th/TH/Documents/Auditor/QAQR-07.xlsx

CB-20240401.xlsx

ช ทวี จำกัด (มหาชน) CHO-W3 9 N/A COM7 Issued by KGI # Call Warrant on COM7 Issued by KGI# B COM713C2404B 9 N/A HANA Issued by KGI # Call Warrant on HANA Issued by KGI# A HANA13C2404A 9 N/A SABUY

https://www.sec.or.th/TH/Documents/RiskManagement/ListName/CB-20240401.xlsx

CB-20240316.xlsx

GUNKUL13P2404A 4 N/A APSP-R Issued by MACQ # Call Warrant on HAIDIL Issued by MACQ# A HAIDIL28C2403A 4 N/A APSP-R Issued by JPM # Call Warrant on HAIDIL Issued by JPM# A HAIDIL41C2403A 4 N/A HANA Issued by BLS

https://www.sec.or.th/TH/Documents/RiskManagement/ListName/CB-20240316.xlsx

CB-20240616.xlsx

GUNKUL13P2407A 3 Call Warrants on APSP-R Issued by MACQ # Call Warrant on HAIDIL Issued by MACQ# A HAIDIL28C2406A 3 Call Warrants on HANA Issued by BLS # Call Warrant on HANA Issued by BLS# A HANA01C2407A 3 Call

https://www.sec.or.th/TH/Documents/RiskManagement/ListName/CB-20240616.xlsx

CB-20230201.xlsx

GULF41C2302A 8 Call Warrants on HANA Issued by JPM # A HANA41C2302A 8 Call Warrants on IRPC Issued by MACQ # A IRPC28C2302A 8 Call Warrants on JMT Issued by JPM # A JMT41C2302A 8 Put Warrants on KCE Issued by

https://www.sec.or.th/TH/Documents/RiskManagement/ListName/CB-20230201.xlsx

CB-20240416.xlsx

GPSC06C2404A 8 Call Warrants on HANA Issued by KKPS # Call Warrant on HANA Issued by KKPS# A HANA06C2404A 8 Call Warrants on JMT Issued by KKPS # Call Warrant on JMT Issued by KKPS# A JMT06C2404A 8 บริษัท เมตะ

https://www.sec.or.th/TH/Documents/RiskManagement/ListName/CB-20240416.xlsx