efficiency of monitoring activities, how does the firm establish monitoring cycle for regular monitoring activities within a year? Please provide the monitoring schedule of each TSQM elements' activities and

methods, setting timeframe and communication frequencies) 3 Does the firm specify the types of significant information that require escalated control over communication within the firm? If so, please

routes normally following a fixed time schedule, entailing the picking up and setting down of passengers at normally fixed stops. The class also includes: • town-to-airport or town-to-station lines

) quality risks and (3) responses? 6.1 Please provide the list of circumstances that can have an impact on risk assessment process. 6.2 Please provide a detailed description and schedule of the procedures to

timeline of report submissions. If no, please describe when the firm plans to apply the SEC's IT guidance and engage IT specialists. 2 Has the firm completed the IT Risk Assessment (ITRA)? What are the

Timeline การปฏิบัติตามประกาศ IT กรอบระยะเวลาการปฏิบัติตามประกาศ IT สธ.38/2565 และ นป.7/2565 หมายเหตุ: สำหรับบริษัทที่ผ่านการพิจารณาความเห็นชอบการเริ่มประกอบธุรกิจหลักทรัพย์ซึ่งได้เริ่มดำเนินธุรกิจ