can timely identify, capture, process, communicate and maintain relevant and reliable information for supporting the SOQM? 3 How does the firm keep the communicated information current, meaningful and
, compile and monitor the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD
quality management of audit engagement? 2 Where are standard audit manuals kept? Do the firm policies and procedures maintain or provide its personnel access to adequate and up-to-date audit manual, firm’s
TRUE Issued by KS # Call Warrant on TRUE Issued by KS# A TRUE11C2405A 4 บริษัท ทีวี ธันเดอร์ จำกัด (มหาชน) TVT 4 บริษัท เวิลด์ คอร์ปอเรชั่น จำกัด (มหาชน) WORLD 4 Call Warrants on SCCC Issued by JPM
YUANTA # Call Warrant on TOP Issued by YUANTA# A TOP19C2405A 8 Call Warrants on TOP Issued by JPM # Call Warrant on TOP Issued by JPM# A TOP41C2405A 8 Call Warrants on TRUE Issued by KGI # Call Warrant on
# Call Warrant on TQM Issued by KGI# A TQM13C2407A 3 Call Warrants on TQM Issued by YUANTA # Call Warrant on TQM Issued by YUANTA# A TQM19C2407A 3 Call Warrants on TRUE Issued by BLS # Call Warrant on TRUE
TQM Issued by YUANTA # Call Warrant on TQM Issued by YUANTA# A TQM19C2404A 8 N/A TRUE Issued by BLS # Call Warrant on TRUE Issued by BLS# A TRUE01C2404A 8 N/A TRUE Issued by BLS # Put Warrant on TRUE
TQM Issued by YUANTA # A TQM19C2307A 8 N/A TRUE Issued by KGI # Call Warrant on TRUE Issued by KGI # A TRUE13C2307A 8 N/A TRUE Issued by KGI # Put Warrant on TRUE Issued by KGI # A TRUE13P2307A 8 N/A
management responsibilities and what support do they receive in managing these demands? 3 How does the firm ensure that partners have sufficient time needed to maintain technical competence in fast-changing
by KKPS# A SCB06C2403A 9 N/A SCGP Issued by KKPS # Call Warrant on SCGP Issued by KKPS# A SCGP06C2403A 9 N/A TIDLOR Issued by KKPS # Call Warrant on TIDLOR Issued by KKPS# A TIDLOR06C2403A 9 N/A TRUE