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
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
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
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