the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
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
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
Warrant on OSP Issued by KGI# A OSP13C2405A 8 Call Warrants on PSL Issued by JPM # Call Warrant on PSL Issued by JPM# A PSL41C2405A 8 Put Warrants on PTT Issued by KGI # Put Warrant on PTT Issued by KGI# A
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. Foreign Juristic Person Foreign Juristic Person 2.Non-Listed Companies Non-Listed Companies 1.Non-Listed Companies Non-Listed Companies Non-Listed Companies 2.Overseas Offering Overseas Offering 20,623.02 4
Companies 112,711.91 126 1.Non-Listed Companies Non-Listed Companies 112,711.91 126 Non-Listed Companies 112,711.91 126 2. Foreign Juristic Person Foreign Juristic Person 2.Non-Listed Companies Non-Listed
Warrants on PTT Issued by KGI # A PTT13P2303A 5 Call Warrants on PTTEP Issued by KKPS # A PTTEP06C2303A 5 Call Warrants on PTTGC Issued by KGI # A PTTGC13C2303A 5 Call Warrants on RATCH Issued by KGI # A