; “ complaint ” means a compliant relating to or as a result of derivatives business in the category of derivatives brokerage. Clause 2 For appropriate customer complaint proceedings, a derivatives broker shall

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

of having negotiation. In case where the consideration of the compliant about the securities investment advice or securities investment negotiation is not finish within specified period of time, the

date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the dispute to the

operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed