establishing a specific time period to make that evaluation? If yes, do the conditions include: • significant changes in the client (such as ownership, management, nature of business or financial position
firm have any processes in place to establish a culture that promotes the quality of SOQM with objective of taking into consideration the public interest? Please describe. Please provide details of the
Questionnaire A.0 Risk Assessment Process for Relevant Ethical Requirements element Firm's Reference /Guidance Notes Description 1 What are the quality risks in ethical requirement element that the
A. RAP and Audit methodology A.0 Risk Assessment Process for Engagement Performance element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Engagement Performance
Activities 381 225 191 148 N/A N/A Red Activities >381g >225g >191g >148g >50g >50g Note: all thresholds are subject to review every three to five years in accordance with new data and technological
NDX41P2306C 7 N/A PSL Issued by KGI # Call Warrant on PSL Issued by KGI # A PSL13C2306A 7 N/A PTT Issued by KGI # Call Warrant on PTT Issued by KGI # A PTT13C2306A 7 N/A RBF Issued by KGI # Call Warrant on RBF
PTG13C2307A 9 N/A PTT Issued by KKPS # Call Warrant on PTT Issued by KKPS # A PTT06C2307A 9 N/A PTTEP Issued by KGI # Call Warrant on PTTEP Issued by KGI # A PTTEP13C2307A 9 N/A SAWAD Issued by KGI # Put
9 N/A PLANB Issued by KKPS # Call Warrant on PLANB Issued by KKPS # A PLANB06C2308A 9 N/A PTT Issued by KGI # Call Warrant on PTT Issued by KGI # A PTT13C2308A 9 N/A PTTEP Issued by JPM # Call Warrant
PSL19C2308A 4 N/A PTT Issued by KGI # Call Warrant on PTT Issued by KGI # A PTT13C2308A 4 N/A PTTEP Issued by BLS # Call Warrant on PTTEP Issued by BLS # A PTTEP01C2308A 4 N/A PTTEP Issued by BLS # Call Warrant
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