work procedures, the amendment should be communicated to related persons and having a control system for compliance (4) There should be an improvement for work procedure where there are errors in an

Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the complaint

updated immediately; (3) in cases where any client cannot be contacted for the purpose of revising and updating the client’s information under subclause (1), such information shall be revised and updated at

inaccurate or inexact, such information shall be revised and updated immediately; (3) in cases where any client cannot be contacted for the purpose of revising and updating the client’s information under

information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy

shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2