can timely identify, capture, process, communicate and maintain relevant and reliable information for supporting the SOQM? 3 How does the firm keep the communicated information current, meaningful and

, compile and monitor the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD

quality management of audit engagement? 2 Where are standard audit manuals kept? Do the firm policies and procedures maintain or provide its personnel access to adequate and up-to-date audit manual, firm’s

management responsibilities and what support do they receive in managing these demands? 3 How does the firm ensure that partners have sufficient time needed to maintain technical competence in fast-changing

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

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

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

on OSP Issued by YUANTA # B OSP19C2302B 6 Call Warrants on PLANB Issued by ASPS # A PLANB08C2302A 6 Call Warrants on PTG Issued by ASPS # A PTG08C2302A 6 Call Warrants on PTT Issued by ASPS # A

KGI # A PLANB13C2304A 9 Call Warrants on PTT Issued by KGI # A PTT13C2304A 9 Put Warrants on PTT Issued by KGI # A PTT13P2304A 9 Put Warrants on PTTEP Issued by KGI # A PTTEP13P2304A 9 Call Warrants on

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