would be more than 15% for Listed Company for the first two years B.VII Threatened or Actual Litigation: Firm's Reference /Guidance Notes Description 1 Is there any litigation in progress or likely (for
the scope of work. - Indications that the client might be involved in any criminal activities. - The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. - The
years. Evidence of such programmes might be the current development of renewable energy facilities that are due to come online in the near term, or the auction of PPAs for renewables. AND / OR • The
publications) 2 What has the firm taken into account when network requirements or professional publications need to be adapted or supplemented in order to, for example, implement consistency, comply with
including standardized forms, checklists, and questionnaires that are to be used in the performance of engagements? If no, describe how the firm determines appropriate working papers for an engagement and
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
Questionnaire_A A.0 Risk Assessment Process for Information & Communication element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in the information and communication
quality objective as mentioned in TSQM1 and 2? If not, please provide the details of the minimum objectives that are absent and describe any reasons for their absense. 1.2 Does the audit firm completely
its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g., in-house, outsource, network firm? 2) How often the firm performs monitoring function? A2 Does
Breach เมื่อไม่สามารถแก้ไขอัตราส่วนการลงทุนภายในระยะเวลาที่กำหนด (กรณี Product Limit สำหรับการลงทุนในเงินฝากหรือตราสารเทียบเท่าเงินฝาก BE PN) บลจ. ที่ประกอบธุรกิจ MF หรือ PVD ฝ่ายกำกับธุรกิจจัดการลงทุน