system of quality management (SOQM)? If yes, Does the firm leadership provide the designated partner with the required authority and resources and take responsibility for the adequacy of firm’s response
from testing the effectiveness of the management information system and/or manual control? _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้ภายใน (Internal) Questionnaire_B B Communication within
ซื้อขายหน่วยลงทุน (Selling Agent) ระบบที่เกี่ยวข้องกับการรับคำสั่งซื้อขายหน่วยลงทุนจากลูกค้า [บลจ.] การจัดการกองทุนรวม / การจัดการกองทุนส่วนบุคคล ระบบจัดการกองทุน (Portfolio Management) ระบบที่เกี่ยวข้อง
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
) (เฉพาะช่องสีส้ม) (เฉพาะช่องสีส้ม) (เฉพาะช่องสีส้ม) หมวดที่ 2 การรักษาความมั่นคงปลอดภัยด้านเทคโนโลยีสารสนเทศ (Information Technology Security) 2.2.2 การบริหารจัดการบุคคลภายนอก (third-party management) 2.2(1
จำกัด (มหาชน) KKC 9 Call Warrants on PTTEP Issued by KKPS # Call Warrant on PTTEP Issued by KKPS # A PTTEP06C2305A 9 Call Warrants on PTTGC Issued by KKPS # Call Warrant on PTTGC Issued by KKPS # A
Issued by JPM # Call Warrant on PTT Issued by JPM # A PTT41C2306A 9 Call Warrants on PTTEP Issued by JPM # Call Warrant on PTTEP Issued by JPM # A PTTEP41C2306A 9 Put Warrants on PTTEP Issued by JPM # Put
PTT13P2405A 8 Call Warrants on PTTEP Issued by KGI # Call Warrant on PTTEP Issued by KGI# A PTTEP13C2405A 8 Put Warrants on PTTEP Issued by KGI # Put Warrant on PTTEP Issued by KGI# A PTTEP13P2405A 8 Call
9 N/A PLANB Issued by KKPS # Call Warrant on PLANB Issued by KKPS # A PLANB06C2308A 9 N/A PTT Issued by KGI # Call Warrant on PTT Issued by KGI # A PTT13C2308A 9 N/A PTTEP Issued by JPM # Call Warrant
9 N/A PTTEP Issued by YUANTA # Call Warrant on PTTEP Issued by YUANTA# A PTTEP19C2403A 9 N/A PTTEP Issued by YUANTA # Call Warrant on PTTEP Issued by YUANTA# B PTTEP19C2403B 9 N/A SABUY Issued by KGI