the firm: Firm's Reference /Guidance Notes Description 1 How does the firm establish the internal communication process to enable personnel and engagement teams to understand and carry out the SOQM

appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality management issues

are aware of and understand the firm’s audit manual and perform audit work in accordance with firm’s audit manual? 3 Do the firm policies and procedures specify the forms and contents of working papers

YUANTA # A TRUE19P2302A 7 Call Warrants on TTA Issued by KGI # A TTA13C2302A 7 Call Warrants on TTA Issued by YUANTA # A TTA19C2302A 7 Call Warrants on TTB Issued by YUANTA # A TTB19C2302A 7 Call Warrants

conduct a significant amount of in-house training? How does the firm ensure that their staff understand the knowledge? 13 Discuss how accounting and auditing technical updates are communicated to audit

0.00291 TSR 159,825,587 29.09003 TSR-W2 53,246 0.01938 TSTE 2,000 0.00052 TSTH 70,711,642 0.83965 TTA 67,051,581 3.67917 TTB 757,504,314 0.78274 TTB-W1 159,240 0.01665 TTCL 39,320,054 6.38313 TTI 100

TSTH 70,111,990 0.83253 TTA 67,009,613 3.67687 TTB 607,671,717 0.62790 TTB-W1 159,250 0.01668 TTCL 29,277,537 4.75285 TTI 100 0.00020 TTLPF 100 0.00006 TTT 401,862 0.69478 TTW 19,777,383 0.49567 TU

1.54073 TRUE 246,369,367 0.71304 TRV 1,825,000 0.86905 TSC 23,110 0.00890 TSE 57,713,004 2.72525 TSF 261,000 0.00378 TSTE 2,000 0.00052 TSTH 70,280,152 0.83453 TTA 67,395,747 3.69806 TTB 529,173,392 0.54679

22,701 0.00592 TSTH 51,616,565 0.61291 TTA 53,099,040 2.91358 TTB 488,235,387 0.50449 TTB-W1 159,267 0.01668 TTCL 21,515,155 3.49272 TTI 100 0.00020 TTLPF 100 0.00006 TTT 402,062 0.69513 TTW 17,648,283

0.80858 TTA 71,085,477 3.90051 TTB 494,115,122 0.51010 TTB-W1 159,247 0.01837 TTCL 23,506,372 3.81597 TTI 100 0.00020 TTLPF 100 0.00006 TTT 395,062 0.68303 TTW 20,402,687 0.51135 TU 113,424,613 2.37697 TVDH