handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
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
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
the process of liquidation as deemed appropriate. The liquidator shall also submit to the Office a monthly report on the progress of liquidation until the liquidation is completed. The provision under
and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team