responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated
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
, including the CEO, the risk assessment responsible person and any relevant risk owner in TSQM element? B5 Does the firm communicate to the person who take care of performance evaluation to consider the
firm to continue the engagement; • discussing with the appropriate level of client’s management /those charged with governance the appropriate action the firm may take; • if the firm determines that it
standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a
activity. The climate projections and assessment of impacts must be based on best practice and available guidance and take into account the state-of-the-art science for vulnerability and risk analysis and
Questionnaire No. Particulars Firm's Reference /Guidance Notes Description 1 Does the audit firm design and implement the risk assesment process that includes the identification of quality objectives
firm’s strategic and business plan. If yes, please describe. 2 How does the firm conduct the estimation of personnel needs (e.g. developing succession plan)? 3 How does the firm deal with the staff
LCSR010008 Page 1 of 1 (Record: 0) ชื่อรายงาน : [NEW] รายงานข้อมูลการขอรับใบอนุญาติประกอบธุรกิจหลักทรัพย์ ธุรกิจสัญญาซื้อขายล่วงหน้า ธุรกิจทรัสต์และธุรกิจสินทรัพย์ดิจิทัล (LCSR010008) เงื่อนไข
is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it