high risk? Please describe the relevant responses to these risks. A.1 Human Resources Planning: Firm's Reference /Guidance Notes Description 1 Is the firm’s human resource planning in line with the

individual's understanding of the entity's industry and relevant experience for engagements of similar nature and complexity before assigning them as an EQr to an engagement? - How does the firm consider the

thresholds and indicators for the energy sector. Many energy activities in the Section 4.1 (Activity Thresholds and criteria) will refer to this sectoral energy table Green Activities 100 100 100 100 50 Amber

the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1

element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what

that the firm considers as high risk? Please describe the relevant responses to these risks B1 Who is the ultimate shareholder(s) that have ultimate control of the audit firm, and;? B2 Who has the

, identification of quality risks, assessment of quality risk levels, and identification of relevant responses to reduce the identified quality risk levels? 1.1 Does the audit firm completely identify minimum

1. Basic info แบบรายงานผลการตรวจสอบด้านเทคโนโลยีสารสนเทศและ แผนการปรับปรุงแก้ไขข้อบกพร่อง ("แบบรายงานผล IT audit") Version: 1/2566 Confidential ภายใต้ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และ

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

กับชื่อใน Sheet "3.1 Critical System" ลำดับที่ ชื่อระบบงาน ฟังก์ชันงาน ตัวอย่าง ระบบรับส่งคำสั่งซื้อขาย (Front Office : OMS) ระบบสำหรับรับส่งคำสั่งซื้อขายหลักทรัพย์จากลูกค้าไปยังศูนย์ซื้อขายหลักทรัพย์