) handling of the client’s complaints; (d) risk management of various types including IT risk. (3) notify the client that the provision of services is in accordance with the regulatory sandbox , which contains
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value to deceive any persons about financial condition and performance of the companies. The said persons were (1) {A}, GSTEL director and executive & GJS director, (2) {B}, GSTEL executive, (3) {C
investment consultant and her approval of the head of department or equivalent position, effective from July 3, 2015.4. Suspended {D} from her duty as the approved capital market investment consultant for 3
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
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