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
indicate that the system of quality management is insufficient. 2) Systemic, repetitive, or other significant deficiencies that require prompt corrective action B2 Does the firm establish the criteria and
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
to key members of client management and those charged with governance? 8 Do engagement partners have the appropriate capabilities, competence, authority and time to perform the role? 9 Are the
quality management of audit engagement? 2 Where are standard audit manuals kept? Do the firm policies and procedures maintain or provide its personnel access to adequate and up-to-date audit manual, firm’s
responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated
measured on a PCF basis, over a rolling five-year average period • Includes all enabling ICT systems and smart management systems for the eligible infrastructure N/A Construction and operation of
, for example: - The identity and business reputation of the client’s principal owners, key management, and those charged with its governance. - The nature of the client’s operations, including its
ซื้อขายหน่วยลงทุน (Selling Agent) ระบบที่เกี่ยวข้องกับการรับคำสั่งซื้อขายหน่วยลงทุนจากลูกค้า [บลจ.] การจัดการกองทุนรวม / การจัดการกองทุนส่วนบุคคล ระบบจัดการกองทุน (Portfolio Management) ระบบที่เกี่ยวข้อง
) (เฉพาะช่องสีส้ม) (เฉพาะช่องสีส้ม) (เฉพาะช่องสีส้ม) หมวดที่ 2 การรักษาความมั่นคงปลอดภัยด้านเทคโนโลยีสารสนเทศ (Information Technology Security) 2.2.2 การบริหารจัดการบุคคลภายนอก (third-party management) 2.2(1