Questionnaire No. Particulars Reference /Guidance Notes Description Risk Assessment Process for Governance and Leadership element A1 What are the quality risks in Governance and Leadership element
confidence in service quality? (e.g. firm's SOQM, firm's strategy and governance & leadership, transparency report, firm inspection results, non-compliance with law and regulation and responses to emerging
COM741C2407A 3 Call Warrants on CPALL Issued by BLS # Call Warrant on CPALL Issued by BLS# A CPALL01C2407A 3 Call Warrants on CPALL Issued by KGI # Call Warrant on CPALL Issued by KGI# A CPALL13C2407A 3 Call
สามัญของบริษัท ซี.ไอ.กรุ๊ป จำกัด (มหาชน) CIG-W9 6 Call Warrants on CPALL Issued by KGI # Call Warrant on CPALL Issued by KGI# A CPALL13C2312A 6 บริษัท อีเทอเนิล เอนเนอยี จำกัด (มหาชน) EE 6 Call Warrants
Issued by JPM # Call Warrant on COM7 Issued by JPM# A COM741C2312A 6 Call Warrants on CPALL Issued by BLS # Call Warrant on CPALL Issued by BLS# A CPALL01C2312A 6 Call Warrants on CPALL Issued by YUANTA
CPALL Issued by YUANTA # Call Warrant on CPALL Issued by YUANTA# A CPALL19C2403A 9 N/A CPN Issued by YUANTA # Call Warrant on CPN Issued by YUANTA# A CPN19C2403A 9 N/A DELTA Issued by KGI # Call Warrant
Call Warrants on CPALL Issued by KGI # Call Warrant on CPALL Issued by KGI# A CPALL13C2405A 8 Call Warrants on CPALL Issued by JPM # Call Warrant on CPALL Issued by JPM# A CPALL41C2405A 8 Call Warrants
on COM7 Issued by YUANTA# A COM719C2408A 3 Call Warrants on COM7 Issued by JPM # Call Warrant on COM7 Issued by JPM# A COM741C2408A 3 Put Warrants on CPALL Issued by BLS # Put Warrant on CPALL Issued
Warrants on CPALL Issued by YUANTA # Call Warrant on CPALL Issued by YUANTA# A CPALL19C2401A 8 Call Warrants on CPALL Issued by JPM # Call Warrant on CPALL Issued by JPM# A CPALL41C2401A 8 Put Warrants on
9 Call Warrants on CPALL Issued by KKPS # Call Warrant on CPALL Issued by KKPS # A CPALL06C2305A 9 Call Warrants on DOHOME Issued by KKPS # Call Warrant on DOHOME Issued by KKPS # A DOHOME06C2305A 9