describe. In case that the firm is a significant component or business unit, does the firm have policies and procedures in place to ensure that significant matters related to the group audit have been
, please provide an approximate percentage of their time dedicated to SOQM tasks in relation to other responsibilities. B6.2 For the utimate responsible person of SOQM and the responsible persons for each
on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
giving issue to true and fair view; (c) Corporate finance on contingent fees basis; or (d) involves a management role 10 Transaction Related Services Is the firm involved in TR Services (e.g. due diligence
subject to review every three to five years in accordance with new data and technological development. * Post-sunset dates, amber certification is no longer available Activity Thresholds & Criteria ISIC
programs/checklist for monitoring element and does the firm change or update its TSQC monitoring programs/checklists to cover activities mentioned in TSQM? If yes, please provide us with those monitoring
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
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
. - Please describe the criteria used to assess the level of identified quality risk in a "risk matrix" format, comprising relevant factors such as the likelihood and magnitude. - For each factor used to
วัดผล Maturity Level 1 (M1) Maturity Level 2 (M2) Maturity Level 3 (M3) Maturity Level 4 (M4) Maturity Level 5 (M5) หมวดที่ 1 การกำกับดูแลและบริหารจัดการด้าน IT (Information Technology Governance) M1 M2