Electrical Products and Computer 08 Energy and Utilities 23,323.60 7 09 Media and Publishing 10 Finance and Securities 17,157.60 8 11 Foods and Beverages 7,250.00 3 12 Health Care Services 13 Tourism and

Energy and Utilities 8,600.00 4 09 Media and Publishing 300.00 1 10 Finance and Securities 29,961.98 12 11 Foods and Beverages 5,820.00 2 12 Health Care Services 13 Tourism and Leisure 14 Industrial

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

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

Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes,” describe the source of such material (such as access

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

Client Acceptance: Firm's Reference /Guidance Notes Description 1 The standard documentation highlights all important matters for consideration, including: • integrity and identification checks on client

# 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