do they report the results of their SOQM functions to the ultimate responsible person of SOQM? Please describe any communication methods used. b) How frequently do they need to report the results of
accurate? (For example, by frequently reviewing and updating on an annual basis or when there are significant changes) 4 How does the firm address changing circumstances and weaknesses or issues that arise
remediation plan among key responsible persons in the SOQM? If yes, please describe. If yes, how frequently are the RCA and remediation plan communicated? B12 When the firm identifies any deficiencies through
Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 4
resources to ensure that they are appropriately and consistently applied to support SOQM activities and audit service quality? _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้ภายใน (Internal)