behavior regarding selling of non-audit services? 2 Consider and beware of firm’s ethics and professional skepticism in context of being “business advisers” 3 How does the firm prevent undue influence being

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

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

development. ** Post-sunset dates, amber certification is no longer available ** Energy efficiency measures are covered under these energy sector criteria by the very means of establishing thresholds using

efficiency of monitoring activities, how does the firm establish monitoring cycle for regular monitoring activities within a year? Please provide the monitoring schedule of each TSQM elements' activities and

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

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

firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for

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