responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated
? B6.1 Please provide the firm's organization chart for SOQM that shows all the responsibilities for SOQM functions (all areas of TSQM's elements), including risk assessment, compliance with independence
COM741C2407A 3 Call Warrants on CPALL Issued by BLS # Call Warrant on CPALL Issued by BLS# A CPALL01C2407A 3 Call Warrants on CPALL Issued by KGI # Call Warrant on CPALL Issued by KGI# A CPALL13C2407A 3 Call
difficult or contentious matters or resolving differences of opinion? If yes, how does the firm ensure the independence and confidentiality of service providers? _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC
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(including independence, quality standards, etc.)? Does the firm (or the network) have special trainings tailored for each staff level (including individuals from the service delivery center within the firm or
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CPALL Issued by YUANTA # Call Warrant on CPALL Issued by YUANTA# A CPALL19C2403A 9 N/A CPN Issued by YUANTA # Call Warrant on CPN Issued by YUANTA# A CPN19C2403A 9 N/A DELTA Issued by KGI # Call Warrant
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