(f) changes to policies and procedures C2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please
11,521,306 0.59548 BTS 202,269,357 1.53611 BTS-W7 7,150 0.00054 BTS-W8 10,037 0.00038 BTSGIF 74,801,495 1.29235 BTW 1,010,000 0.13360 BUI 27,300 0.09100 BVG 44,759,203 9.94649 BWG 435,380,688 8.79358 BYD
BROCK 1,167,097 0.11386 BROOK 1,017,812,884 10.92636 BRR 24,665,674 3.03727 BRRGIF 1,000 0.00029 BSBM 1,434,325 0.12793 BSM 301,517,484 14.15239 BTG 10,399,293 0.53749 BTS 198,202,340 1.50522 BTS-W7 7,167
9,043,322 0.46740 BTNC 100 0.00083 BTS 198,916,913 1.51065 BTS-W7 7,111 0.00054 BTS-W8 10,077 0.00038 BTSGIF 80,478,301 1.39043 BTW 1,014,200 0.13415 BUI 30,030 0.09100 BVG 46,605,604 10.35680 BWG 474,089,116
BSBM 1,384,333 0.12347 BSM 30,128,750 14.14159 BTG 6,092,521 0.31489 BTNC 2,000 0.01667 BTS 170,986,438 1.29854 BTS-W7 7,091 0.00054 BTS-W8 10,067 0.00038 BTSGIF 64,281,968 1.11061 BTW 314,205 0.04156
11.00617 BRR 21,515,566 2.64937 BRRGIF 101,000 0.02886 BSBM 1,374,137 0.12256 BSM 18,378,750 8.62647 BTG 8,773,779 0.45347 BTS 197,011,757 1.49618 BTS-W7 7,158 0.00054 BTS-W8 10,063 0.00038 BTSGIF 68,520,083
11.02014 BRR 21,601,466 2.65995 BRRGIF 1,000 0.00029 BSBM 1,348,225 0.12025 BSM 18,371,750 8.62319 BTG 10,015,222 0.51764 BTNC 22,100 0.18417 BTS 200,350,664 1.52154 BTS-W7 7,200 0.00055 BTS-W8 10,059
# A BLA19C2302A 7 Call Warrants on BPP Issued by ASPS # A BPP08C2301A 7 Call Warrants on BPP Issued by YUANTA # A BPP19C2302A 7 Call Warrants on BTS Issued by KGI # A BTS13C2302A 7 Call Warrants on BTS
KGI # A BDMS13C2308A 9 N/A BH Issued by JPM # Call Warrant on BH Issued by JPM # A BH41C2308A 9 N/A BLA Issued by YUANTA # Call Warrant on BLA Issued by YUANTA # A BLA19C2308A 9 N/A BTS Issued by KGI
# A BLA19C2308A 4 N/A BTS Issued by KGI # Call Warrant on BTS Issued by KGI # A BTS13C2308A 4 N/A BTS Issued by KGI # Call Warrant on BTS Issued by KGI # B BTS13C2308B 4 N/A BTS Issued by YUANTA # Call