) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
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
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
required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured
(CSR) Disclose the corporate social responsibility policies implemented by the Company and the subsidiaries to support sustainable business and the society at large. In-process CSR is incorporated into
Social Responsibility Disclose the corporate social responsibility policy implemented by the Company and the subsidiaries to support sustainable business and the society at large. This is part of the in
information on specific measures already put in place and substantial alleviation of risk impacts may also be included. 3. Business Sustainability Development 3.1 Policy and objectives of sustainable management