) 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
responsibilities engagement partner clearly defined and communicated to that partner? 10 Does the firm have policies and procedures regarding to the assignment of engagement teams and the level of supervision
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
เนียริ่ง จำกัด (มหาชน) PROS 3 Call Warrants on PTT Issued by KGI # Call Warrant on PTT Issued by KGI# A PTT13C2406A 3 Call Warrants on PTT Issued by YUANTA # Call Warrant on PTT Issued by YUANTA# A
on PTG Issued by YUANTA# A PTG19C2407A 3 Call Warrants on PTT Issued by BLS # Call Warrant on PTT Issued by BLS# A PTT01C2407A 3 Call Warrants on PTT Issued by JPM # Call Warrant on PTT Issued by JPM