Electrical Products and Computer 08 Energy and Utilities 23,323.60 7 09 Media and Publishing 10 Finance and Securities 17,157.60 8 11 Foods and Beverages 7,250.00 3 12 Health Care Services 13 Tourism and
Energy and Utilities 8,600.00 4 09 Media and Publishing 300.00 1 10 Finance and Securities 29,961.98 12 11 Foods and Beverages 5,820.00 2 12 Health Care Services 13 Tourism and Leisure 14 Industrial
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
CPALL Issued by JPM # Call Warrant on CPALL Issued by JPM# B CPALL41C2407B 3 Call Warrants on CPALL Issued by JPM # Call Warrant on CPALL Issued by JPM# C CPALL41C2407C 3 Call Warrants on CPF Issued by
CPALL19P2408A 3 Call Warrants on CPALL Issued by JPM # Call Warrant on CPALL Issued by JPM# A CPALL41C2408A 3 Put Warrants on CPF Issued by BLS # Put Warrant on CPF Issued by BLS# T CPF01P2408T 3 Put Warrants on
Issued by YUANTA # Call Warrant on CPALL Issued by YUANTA# A CPALL19C2406A 3 Call Warrants on CPALL Issued by JPM # Call Warrant on CPALL Issued by JPM# A CPALL41C2406A 3 Call Warrants on CPF Issued by KGI
party because it is required to communicate about non-compliance with laws and regulations (NOCLAR) committed by a client to the appropriate regulator; - The firm may consider the network firm as a
CPF Issued by KGI # Call Warrant on CPF Issued by KGI# A CPF13C2406A 7 Call Warrants on CPN Issued by JPM # Call Warrant on CPN Issued by JPM# A CPN41C2406A 7 Call Warrants on CRC Issued by YUANTA
# Call Warrant on CPALL Issued by YUANTA# A CPALL19C2312A 6 Call Warrants on CPALL Issued by JPM # Call Warrant on CPALL Issued by JPM# A CPALL41C2312A 6 Call Warrants on CPF Issued by BLS # Call Warrant
CPF Issued by YUANTA # Call Warrant on CPF Issued by YUANTA# A CPF19C2402A 9 Call Warrants on CPN Issued by KGI # Call Warrant on CPN Issued by KGI# A CPN13C2402A 9 Call Warrants on CPN Issued by JPM