-km The activities carried out with the ships, that belong to the categories from Table 14 as well as those that exceed the thresholds for amber and green are not compliant Note: All thresholds are
quality objective as mentioned in TSQM1 and 2? If not, please provide the details of the minimum objectives that are absent and describe any reasons for their absense. 1.2 Does the audit firm completely
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
reserve? A3 Does the monitoring process required those performing the engagement or the engagement quality management review are not involved in inspecting the engagements? A4 Does the firm have monitoring
engagement if effective safeguards could not be applied? 17 Does the firm have a system for identifying all services performed for clients, including services performed by entities closely aligned through
Warrants on PTT Issued by KGI # A PTT13C2302A 8 Call Warrants on PTT Issued by JPM # A PTT41C2302A 8 Call Warrants on RBF Issued by MACQ # A RBF28C2302A 8 Call Warrants on RCL Issued by JPM # A RCL41C2302A 8
Warrants on PTG Issued by KGI # A PTG13C2303A 8 Call Warrants on PTG Issued by YUANTA # A PTG19C2303A 8 Call Warrants on PTT Issued by KGI # A PTT13C2303A 8 Call Warrants on PTT Issued by YUANTA # A
not implemented, has the reasons for departure been documented? If no, how does the firm ensure that difficult or contentious matters have been resolved appropriately? Are the nature, scope and
on OSP Issued by YUANTA # B OSP19C2302B 6 Call Warrants on PLANB Issued by ASPS # A PLANB08C2302A 6 Call Warrants on PTG Issued by ASPS # A PTG08C2302A 6 Call Warrants on PTT Issued by ASPS # A
KGI # A PLANB13C2304A 9 Call Warrants on PTT Issued by KGI # A PTT13C2304A 9 Put Warrants on PTT Issued by KGI # A PTT13P2304A 9 Put Warrants on PTTEP Issued by KGI # A PTTEP13P2304A 9 Call Warrants on