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
system of quality management (SOQM)? If yes, Does the firm leadership provide the designated partner with the required authority and resources and take responsibility for the adequacy of firm’s response
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
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
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
committee, investors, regulators, network firms, other networks, other service providers) Why are they considered relevant parties? For example, - The firm may consider a regulatory authority as a relevant
# 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
JPM # Call Warrant on CPALL Issued by JPM# C CPALL41C2407C 8 Call Warrants on CPF Issued by BLS # Call Warrant on CPF Issued by BLS# A CPF01C2407A 8 Call Warrants on CPN Issued by BLS # Call Warrant on