) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and
212,501 0.08673 PROUD 3,205,904 0.49978 PSG 35,902,602 0.05524 PSH 15,628,815 0.71413 PSL 19,604,692 1.25728 PSTC 212,020,836 8.93867 PT 4,225,601 1.48847 PTC 6,646,303 1.62105 PTECH 17,905 0.00731 PTG
1,791,723,037 42.11374 PRIN 47,648,541 3.90558 PRINC 51,096,958 1.34163 PRM 116,591,065 4.66364 PROEN 14,905,802 4.70293 PROS 3,130,908 0.57059 PROSPECT 230,000 0.06133 PROUD 52,182,405 8.13483 PRTR 26,361,300
115,579,086 4.62316 PROEN 15,958,503 5.03507 PROS 3,073,901 0.56020 PROSPECT 230,000 0.06133 PROUD 1,223,098 0.19067 PRTR 8,278,000 1.37967 PSG 33,970,500 0.05227 PSH 14,758,651 0.67437 PSL 23,008,968 1.47560
PRIME 1,822,897,526 42.84649 PRIN 412,840 0.03384 PRINC 38,773,462 1.01806 PRM 32,846,887 1.31388 PROEN 13,503,700 4.26055 PROS 2,880,802 0.52501 PROSPECT 250,000 0.06667 PROUD 1,230,395 0.19181 PRTR
11,628,800 3.35784 PROS 2,836,909 0.51701 PROSPECT 296,400 0.07904 PROUD 1,503,701 0.15438 PRTR 5,429,600 0.90493 PSG 34,404,692 0.05294 PSH 14,645,885 0.66922 PSL 24,819,611 1.59172 PSTC 196,653,957 8.29082
2,673,898 0.48500 PROSPECT 296,400 0.07904 PROUD 5,943,701 0.61023 PRTR 3,179,900 0.52998 PSG 34,890,600 0.05368 PSH 14,408,193 0.65836 PSL 27,495,987 1.76336 PSP 72,841,800 5.20299 PSTC 206,744,205 8.71621
6.30881 PRIME 1,879,678,227 44.18109 PRIN 3,641,040 0.29844 PRINC 45,960,204 1.20676 PRM 114,604,911 4.58420 PROEN 12,409,598 3.58330 PROS 2,593,900 0.47049 PROSPECT 296,400 0.07904 PROUD 5,797,500 0.59522
19,827,602 6.19613 PRIME 14,666,135 0.34472 PRIN 3,765,043 0.30861 PRINC 43,469,804 1.14137 PRM 115,768,486 4.63074 PROEN 12,004,901 3.46644 PROS 2,159,923 0.39178 PROSPECT 296,400 0.07904 PROUD 6,415,800
2.93520 PROS 1,813,703 0.32898 PROSPECT 296,400 0.07904 PROUD 7,667,000 0.78716 PRTR 8,327,600 1.38793 PSG 36,111,612 0.05556 PSH 14,312,315 0.65398 PSL 34,007,472 2.18096 PSP 65,315,301 4.66538 PSTC