Questionnaire) กระบวนการประเมินความเสี่ยงของสำนักงาน (The Firm's Risk Assessment Process) การกำกับดูแลและผู้นำ (Governance and Leadership) ข้อกำหนดด้านจรรยาบรรณที่เกี่ยวข้อง (Relevant Ethical Requirements) การตอบ
เสี่ยง (Risk Assessment)ตามหมวดที่ 4 ข้อ 4.2 ของประกาศสำนักงาน ที่ อข./น. 5 /2549 เรื่อง แนวทางปฏิบัติเกี่ยวกับระบบงานการประกอบธุรกิจการจัดการกองทุน ลงวันที่ 8 มีนาคม พ.ศ. 2549 ซึ่งกำหนดให้
well as to approve the appointment, transfer and dismissal of the head of the internal audit unit or any other units responsible for the internal audit. - Review the risk assessment and risk management
well as to approve the appointment, transfer and dismissal of the head of the internal audit unit or any other units responsible for the internal audit. - Review the risk assessment and risk management
well as to approve the appointment, transfer and dismissal of the head of the internal audit unit or any other units responsible for the internal audit. - Review the risk assessment and risk management
quality control systems. Of the total 32 audit firms, 53 percent received the Good to Very Good evaluation results – an improvement from 48 percent in 2019 and from 51 percent in 2020. In addition, seven
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
services are managed efficiently, aligned with customers’ need and controlled with acceptable risk level. Establishment of Third-Party Risk Management Policy and Framework which cover risk assessment
? If yes, describe 18 Does the firm have staff consultation unit or counselor/counselee system? D Performance Evaluation 1 Does the firm have documented and organized appraisal policy and process? If yes
digital asset businesses A List of supplementary documents to the application for a license in undertaking digital asset businesses. A Form for IT and Cyber risk assessment for digital asset business