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 limitations, risks and
) 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
) 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
) 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
accountability. The effectiveness of the complaint handling system depends on the fair consideration of complaints by the responsible party and a protective measure for whistleblowers; 5. Auditor: Selection of
effective and appropriate risk management and an internal control system in compliance with the applicable laws, and ensure that conflicts of interest are effectively dealt with and complaints are handled
Digital Economy and Society, to issue 90 public warnings, (3) Filing 10 criminal complaints with the authority regarding investment scams that falsely claimed association with the SEC by using the names
or materially mislead the clients. Clause 30 The derivatives broker shall put in place a system for handling client complaints, reporting client complaints, and results of the consideration of client
place a system for handling client complaints, reporting client complaints, and results of the consideration of client complaints, in accordance with the criteria prescribed and notified by the SEC Office
place a system for handling client complaints, reporting client complaints, and results of the consideration of client complaints, in accordance with the criteria prescribed and notified by the SEC Office