of raised capital could be summed up to shareholders’ equity. (2) having a system for handling client’s complaints and dispute resolution efficiently, for instance the compliance according to the

of raised capital could be summed up to shareholders’ equity. (2) having a system for handling client’s complaints and dispute resolution efficiently, for instance the compliance according to the

shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself

delay. Clause 13 A management company shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the

delay. Clause 13 A management company shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the

securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean of telephone or via electronics, the securities

finish within specified period of time, the securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean

time, the securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean of telephone or via electronics

handling system, report of customer complaints and result of the complaint in accordance with the rules specified in the notification of the SEC Office. Clause 27/1 In servicing as Derivative broker

deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints handling system, report of customer complaints and result of the